The SEC and FINRA Proclaim: Trust No One!
Our industry doesn't deserve to be painted by regulators with the lowest common denominator. Case in point: the SEC actions against CCOs
Barclays CEO Change Seen Prompting Deeper Investment Bank Review
Chairman John McFarlane, taking over as interim CEO, has pledged to reallocate capital and prioritize investment in the bank's most profitable units.
‘Dissident’ Candidate Vies for FINRA Board Seat
With FSI's endorsement, securities attorney Brian Kovack is running against FINRA's chosen candidate to push for "immediate reforms" in three areas.
HD Vest on Track to Add 620 Advisors in 2015
The firm is "having a great year," CEO Roger Ochs told ThinkAdvisor.
Pentagon Honors Wells Fargo Advisor for Service
Stephen H. Lee has raised over $5 million to support USO programs for wounded soldiers.
Advisors Who Serve(d) Tell Their Stories: Fourth of July, 2015
In the second part of our latest slideshow honoring advisors who served in the armed forces, we present 17 veterans deserving recognition.
New Hire Roundup: Merrill Adds Teams From Barclays, UBS
In addition, Intellectus joins Dynasty and Independent Financial Partners names Ned Van Riper as recruiting director.
CFP Board Names Ameriprise’s Mike Greene as Chair-Elect
Greene will become Board chair in 2016; replaces Joe Votava, who resigned in March.
Why Bob Veres Is Wrong on Flat Fees
Sorry, Bob, but from a client's perspective, flat fees fall flat.
What You Think You Know About Advisory Firm M&A Is Wrong
Advisory firms that will sell at a premium in the future will be those with experienced, well-trained younger advisors, not the most profitable.