13 Best & Worst Broker-Dealers: Q3 Earnings, 2014
The third quarter saw several firms get hit with problems, while others were able boost their financial results.
Advisors, Don’t Retire at 65: SIFMA Panel
One way to ease the talent crisis is to encourage older advisors to stay in the business longer, panelists said.
2 Hybrid RIAs Add Wirehouse Reps in California
Plus, Lebenthal Wealth Advisors opens branch in North Dakota energy boomtown.
Why NASAA Is Leading the Charge Against Elder Fraud
At least one-third of the enforcement actions initiated by state securities regulators involve senior investors, and NASAA is tackling the issue head on.
Starting Over When a Nest Egg Is Gone
Losing a retirement portfolio is devastating—but recovery is possible, with the right financial advice.
Wells Fargo Adds 2 Reps, Boosts Overall Headcount in Q3
The third-biggest wirehouse says its client assets total $1.4 trillion.
Wells Fargo Compliance Officer Altered Doc After Insider Trader Slipped Through Cracks: SEC
Document was changed to cover mistakes in reviewing broker’s illegal Burger King trades, SEC says.
The Bizarre Recruiting Case of Alfonso Montoya
A $150 million book of business Wells Fargo promised him never materialized — and then the wirehouse took him to arbitration.
New Hire Roundup: Vanguard’s McNabb to Serve Additional Term at ICI
Meanwhile, Dynasty Financial Partners announced a new partnering with Nova Wealth Advisors.
Focus, Dynasty Add Teams; Morgan Stanley Grabs 4 FAs With $660M
Boutique firms continue to attract registered reps, including some from the wirehouse firms.