First Republic, FiNet Grab Reps From Rivals: Recruiting Roundup
A UBS advisor moves firms in SoCal, while two registered reps with LPL and Edward Jones join Wells Fargo Financial Network.
LPL Fined $900K Over Failure to Send 1.6M Notices to Clients
The information should have been sent to investors whose accounts were tied to suitability notices over a seven-year period.
Who’s Up, Who’s Down in Latest Morningstar Ratings
Morningstar analysts have taken a fresh look at nearly 100 funds, giving just one an upgrade.
How Debt Can Help Your Clients Save More
Former wealth manager and book author Thomas Anderson says paying off debt too soon short-changes retirement savings.
5 Ways to Get Millennials Out of the House
An advisor explains how financial professionals can help young clients move ahead (and away from their parents' homes).
4 Alternative Funds Win Medalist Rating: Morningstar
The research firm says these Bronze funds have “specialized expertise” guiding their powerful strategies.
‘Unloved’ Funds Investors Should Buy: Morningstar
Morningstar shares its list of three “unloved categories” that investors should buy and three categories they should avoid.
3 Keys to Giving Client Gifts With Maximum Impact
The power of a properly executed gift can never be underestimated.
Want a Good Year for Stocks? Root for the Falcons in the Super Bowl
AFC Super Bowl wins — particularly when the Patriots play — seem to portend worse stock market years, according to LPL's Ryan Detrick.
FINRA Expels BD, Bars CEO for Fraudulent Muni Bond Sales
Robert Lawson transferred millions of dollars from a deceased client's trust to hide bond borrowers' poor financial condition.