Morgan Stanley, Raymond James Add $1M-Plus Reps, Team
Baird hires a branch manager from Wells Fargo in Philadelphia.
Frustrated States Push to Fill Small-Business Retirement Gap
Seventeen states are at some stage of legislating state-administered plans that hope to deliver retirement plan access to small employers.
CFP Board Request for Camardas' Client List Raises Eyebrows
The latest filing in the CFP Board/Camarda legal tussle is raising some questions about privacy rules, Brian Hamburger of MarketCounsel says.
Boomer Mortgage Debt Could Dampen Economy
A growing number of homeowners are reaching retirement age still owing money on their houses, causing a squeeze on other spending.
SEC, FINRA Enforcement: Citi Global Markets Fined $2 Million
In another action, an investor relations firms exec was charged with insider trading.
Schwab-Morgan Broker Battle Is ‘Tricky’: Expert
FINRA has wrapped up its ruling, but arguments over who owns client information when advisors switch firms continue.
Wells Fargo, U.S. Trust, Raymond James Add Teams From Rivals
Plus, a wealth group of five advisors affilates with LPL Financial in Wisconsin.
9 Worst States for 401(k) Plans
While any company can design a better plan no matter the state it's in, the trends are nonetheless telling.
Clearing Firms Join the Robot Race
Robo-advisors and other new technologies are transforming the clearing space.
HighTower Grabs Merrill Advisors With $800M in Florida
Merrill Lynch lost $800 million in AUM and three top advisors to HighTower Partnership.