Schwab, Vanguard, Other Platform Glitches Unrelated to Apple, Tesla Splits, Firms Say
By Ginger SzalaSeveral major trading platforms experienced outages and other problems on the day of the stock splits.
September 03, 2020
Focus Partner Firm Buckingham Adds 2 RIAsThe new wealth groups — one of which is an all-female team — work with a combined $343 million in client assets.
September 03, 2020
Top 9 LinkedIn Mistakes Advisors MakeLinkedIn can be the 21st century's answer to the cold call — if you use it the right way.
September 02, 2020
3 Steps to Better Client Referral RatesBoosting organic growth is hard, but asking employees for their ideas and using innovative processes can make it easier.
September 02, 2020
DOL Fiduciary Rule Hearing Is Too Rushed, Lawmakers SaySen. Patty Murray and Rep. Bobby Scott urged the department to reopen the comment period after the hearing.
September 02, 2020
SEC Charges Ex-LPL Rep With Stealing $300K From Retired ClientThe rep defrauded a 73-year-old client with whom he shared a bank account, the SEC says.
September 02, 2020
Firms Failing to Report Advisors' Disciplinary Histories on Form CRS: WSJThe Journal said it found about 2,300 employees with disclosures that their firms didn't report on the form.
September 02, 2020
Hearsay CEO Clara Shih Steps AsideThe news comes one month after Salesforce Ventures made a strategic investment; Shih will become executive chairperson.