Human Capital: Ex-SEC Lawyer Lundy Warns of Sweep of Advisor PPP Loans
By Melanie Waddell Melanie WaddellLundy, based in Chicago, co-leads Faegre Drinker's Reg BI Compliance team as well as internal investigations.
May 14, 2020
Why, and How, Advisors Should Podcast: TD AmeritradeWhen it comes to podcasts and flash briefings, clients want "brevity, levity and familiarity," TD Ameritrade's Dani Fava says.
May 14, 2020
Does New PPP Loan Guidance Give Borrowers a License to Steal?The SBA's assertion that it will not challenge the good-faith certification on loans under $2 million has sparked debate.
May 14, 2020
Wealth Management M&As Slow Dramatically: FidelityThere were just four deals in April, three involving RIAs.
May 14, 2020
Goldman to Buy Folio FinancialWith this deal, Goldman "fills in the last piece" of its wealth management ecosystem, consultant Gavin Spitzner says.
May 14, 2020
3 Top Ways to 'Touch' Clients in a PandemicYou can show empathy not in automated messages but through personal texts, DMs, emails and calls to your clients.
May 14, 2020
SEC Launches PPP Loan Sweep of Public CompaniesThough the enforcement probe is focused on public firms, advisors could be questioned on PPP loans in their next exam, a lawyer says.
May 13, 2020
2 Ways to Boost Staff Morale — RemotelyThere are steps to keep your advisory firm's culture alive, even as your employees work from home during the pandemic.