LPL-Affiliated RIA Merges With Bank-Focused Wealth Group
The deal gives some 500 IFP advisors acccess to a large number of bank clients and accounts, the two firms say.
LPL to Pay $3.2M Over Sales of Nontraded REITs, Leveraged ETFs
A settlement was reached with NASAA, Massachusetts and Delaware attorneys general.
FINRA’s 5 Biggest Fine Categories in First Half of 2015
FINRA is on track to impose $75 million in fines this year, the second most since the financial crisis.
REITs Weaken Slightly Less Than Equities in August: NAREIT
Dividend yields on the asset class are roughly 4%, ahead of the S&P 500, the industry group says.
ETF Gurus Look to MLPs Despite Oil Drop
Bruno del Ama of Global X and Michael Iachini of Charles Schwab explore alternative income-producing ETF strategies, particularly MLPs.
Dwyer to Move to AR Global in Apollo-RCAP Deal
The former LPL executive will continue to lead the wholesale distribution unit that RCAP sold to Apollo.
Two Reasons to Rethink Real Estate Investing
It remains axiomatic that the supply of tradable real estate is fixed, and it has key traits that attract alternative investment managers.
Most Advisors See Little Effect From New Fiduciary Rules, Survey Finds
But, expert asks, do reps really understand what they will need to do to fully monitor and manage investment suitability?
‘We’ve Got to Be Close to the Bottom’ on Energy: Cushing Founder
With low energy-equity prices and robust yields, investors should consider "gradually" getting back into the sector, says Cushing founder Jerry Swank.
LPL CEO Addresses Firm’s Compliance Woes
The firm “is close to being done” resolving several enforcement issues it has faced over the last few years, CEO Mark Casady said.