AIG Unit to Pay $40M Over 12b-1, Referral Fees Tied to Teacher Pensions
By Melanie Waddell"Too often educators are targeted with misconduct related to their investments," said SEC Chairman Jay Clayton.
July 27, 2020
Envestnet's New RIA Planning Tool Is a 'Good Start': BruckensteinThe head of T3 Technology Hub reviews the new advisor tool and predicts it will "become much more robust over time."
July 27, 2020
How an Advisory Firm Helps Grounded PilotsFacing the prospect of mass layoffs come October, many pilots wonder if they should take an early retirement buyout.
July 27, 2020
TD Ameritrade vs. Schwab: The Latest Quarterly EarningsAs they prepare to merge, TD reports daily average trades of 3.4 million in the latest quarter vs 1.6 million at Schwab.
July 27, 2020
Global Beta ETFs Adds 2 Factor-Based ETFs: Portfolio ProductsAlso, Van Eck Merk Gold Trust lowered its fee.
July 24, 2020
$280M Team Exits UBS to Join Raymond JamesThe bilingual group, originally from Venezuela, will join Alex. Brown's Miami office.
July 23, 2020
UBS to Close U.S. Private BankAfter Jan. 1, 2021, its Financial Services unit and U.S. bank affiliate will provide wealth management services.
July 23, 2020
Techies Cheer Fava's Move to Envestnet"She has her finger on the pulse of what actually matters" to advisors, Gavin Spitzner tells ThinkAdvisor.