Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
FINRA Bars Broker Accused of Trading in Dead Client's Account
By Jeff BermanThe broker, formerly affiliated with SagePoint and Cambridge, was accused of excessive unauthorized trading and forgery.
November 08, 2021
Raymond James Completes Move to New Park Avenue OfficeThe 160,000-square-foot space in the LEED-certified high-rise at 320 Park Ave. will host most of the firm's New York-based associates.
November 08, 2021
10 New Findings on How Investors Pick an AdvisorPhilip Palaveev's Ensemble Practice looked at why, how and from whom investors seek advice.
November 06, 2021
JPMorgan Starts 'Pilot' for Remote Advisory UnitThe call-center based offering aims to attract clients with $25,000 in investable assets, according to the bank's filing.
November 05, 2021
Beware of Index Funds' Dominance: AuthorRobin Wigglesworth says BlackRock, Vanguard and State Street could someday control most voting shares of the world's largest firms.
November 05, 2021
6 Trends Reshaping the Wealth IndustryThoughtLab Group study reveals how advisors and firms can move to a more client-centric approach to succeed.
November 05, 2021
SEC to Update Electronic Filing RequirementsSEC commissioners unanimously approved the amendments, which are subject to 30 days of public comment after publication.
November 04, 2021
Ex-Wells Fargo Broker Barred by FINRA Over Ponzi SchemeThe former broker and Wells Fargo were among those named in a complaint last year by disgruntled investor.