Raymond James Adds 6 From LPL; Wells Fargo Grabs 5 From Morgan Stanley
Meanwhile, Merrill Lynch recruits a UBS team as wirehouse retention deals expire.
Enforcement: Broker Convicted of Bilking Elderly Relatives in Fake Hedge Fund
Meanwhile, Goodyear agreed to pay $16 million to the SEC to settle bribery charges.
NAPFA Elects Moore Board Chairman for 2015 Term
Current board treasurer Frank Moore will serve as chairman-elect and remain as treasurer until his term begins on Sept. 1.
SEC, FINRA Enforcement: Fake Hedge Fund Manager Seeks His Perfect Match
The SEC has charged Moazzam Malik with stealing investor money to pay for a matchmaking site membership and Harvard classes, among other expenses.
3 States That Shuttered Pension Plans and Paid for It: NIRS
A National Institute on Retirement Security analysis shows that switching from pensions to DC plans might not fix underfunding problems.
Rove, Gibbs: How Advisors Can Distance Themselves From Wall St.
The storied political spinsters offer some imaging advice at FSI — both for advisors and for presidential hopeful Hillary Clinton.
Raymond James Grabs $1M Rep From Morgan Stanley in Miami
Meanwhile, Lebenthal Wealth adds a manager and a branch in Michigan.
Enforcement Roundup: Wells Fargo, JPMorgan Slammed Over Mortgage Kickbacks
Meanwhile, the SEC charged a Fort Lauderdale-based advisory fund manager and his firm with running a Ponzi scheme to buy jewelry, cars and a house.
8 Oddest Enforcement Cases of 2014
Office equipment trafficking, a broker who gave client money to charity and more offbeat cases from the SEC and other regulators.
Will This ‘Secret Sauce’ Attract New Clients?
Mike Kaselnak coaches advisors to use “motivational interviewing” on their prospects. Is this the right way to expand a practice?