Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
LPL Taps New Exec From Google
By Jeff BermanAlthea Brown will join the firm in September, replacing Chief Legal Officer Michelle Oroschakoff, who is retiring this fall.
July 27, 2023
Dynasty Adds Ron Insana as Chief Market StrategistThe finance journalist and ex-hedge fund manager will be a spokesperson for Dynasty on investment, economic and related topics.
July 26, 2023
LPL Fined $3M for Failing to Investigate Red Flags, Supervise RepsFINRA alleges that at least 50 LPL Financial registered representatives forged electronic signatures on over 1,000 documents.
July 26, 2023
Schwab Retirement Unit Wants to Expand Deferred Comp ServicesThe new capabilities will be launched in partnership with Newport, which has decades of experience in the deferred comp arena.
July 25, 2023
Ex-UBS Advisor Says Firm Fired Him Over His DepressionThe wirehouse failed to reasonably accommodate his treatment, according to a lawsuit.
July 25, 2023
LPL Financial to Acquire $6.5B Wealth BusinessThe deal will bring Crown Capital's 260 financial advisors to LPL's platform.
July 25, 2023
Ex-LPL Broker Suspended for Teaching Online CoursesThe former broker had five outside business activities without LPL's approval according to FINRA.
July 25, 2023
An AI Chatbot Duped Social Security Staffers. The SSA Has Taken Notice.The SSA's Office of the Inspector General is seeking to both leverage AI and protect beneficiaries from its risks.