Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
SEC's First Reg BI Action Singles Out Individual Advisors
By Robert Bloink | William H. ByrnesUntil recently, how the commission would interpret and enforce the new rules was largely unknown.
July 06, 2022
Stifel Broker Killed in Highland Park ShootingStephen Straus worked for 54 years as a broker, 24 of them at Stifel.
July 05, 2022
Morgan Stanley Fires 90-Year-Old Broker Arrested for Shooting Business PartnerLeonard David Bernstein shot Chris Bayouth as many as five times, according to police.
July 05, 2022
Scott MacKillop: The SEC Warning TAMPs Don't Want to Talk AboutSEC is increasing scrutiny of TAMP selection, so choose carefully, the First Ascent Asset Management CEO warns.
June 30, 2022
Clients Are Younger, More Diverse and Want an Advisor to MatchHere are some steps the industry can take to build a network of diverse professionals to deliver the right guidance for future clients.
June 30, 2022
Ric Edelman's Digital Asset Group Offers Course to Flourish Crypto Users: Tech RoundupAlso, Advisor360° enhances its existing beneficiaries capability for advisors.
June 29, 2022
UBS to Pay $25M SEC Penalty Over Complex Options StrategyUBS advisors sold the Yield Enhancement Strategy even though some didn't understand the risks themselves, regulators say.
June 29, 2022
Liz Ann Sonders: We May Already Be in a RecessionSchwab's chief investment strategist says a key "known" risk continues to be an aggressive Fed.