Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Seeking Names, Stories & Photos of Advisors Who Serve(d)
By Janet LevauxThe deadline for submissions of the required information and photos is 11 p.m. ET on Tuesday, May 25.
May 17, 2021
Ex-Wells Fargo Rep Sentenced to 27 Months in PrisonThe firm's former broker had pleaded guilty to wire fraud in which he stole more than $450,000 from about 40 clients.
May 14, 2021
FINRA Bars Ex-Securities America Broker Who Signed Dead Client's NameThe former rep signed his deceased client's name on annuity surrender forms, according to FINRA.
May 14, 2021
'Wandering' Bad Brokers Pose Risks for Clients, IndustryAdvisors with regulatory infractions often keep causing trouble even if they're barred from the business, a recent study finds.
May 14, 2021
Final Call for Nominations: ThinkAdvisor's LUMINARIES Awards ProgramThere are just few days left to submit your nominations for this pioneering recognition program.
May 14, 2021
Vanguard to Open Texas Base for Advisors, Tech StaffThe Dallas-Fort Worth office will be staffed by employees in the Personal Advisor Services program and others.
May 14, 2021
Schwab Cuts More TD Ameritrade ExecutivesMore cuts are expected to follow as the firms continue the integration process, a Schwab spokeswoman says.
May 13, 2021
Ex-LPL Rep Pleads Guilty to Stealing More Than $600K From Retired ClientThe broker transferred funds from his 73-year-old client's investment accounts to a joint bank account and withdrew most of it for his own use.