New York AG Sues Manager for Fraud, Fiduciary Failure
By Ginger SzalaLaurence G. Allen ran a shell game scheme, moving money out of investor accounts, according to AG Letitia James.
December 06, 2019
How Breakaway Advisors Can Avoid Major Tech MistakesThe most efficient way to get up to speed on technology as a new RIA is to hire a consultant.
December 06, 2019
Fund With Bitcoin Futures Strategy Preps for LaunchThe fund expects to value its Bitcoin futures holdings at daily settlement prices reflected on a CFTC-registered futures exchange, said SEC's Blass.
December 05, 2019
LPL Introducing No-Transaction-Fee ETFs for AdvisorsMore than 450 ETFs will be available for no fee on two platforms for advisors.
December 05, 2019
How a Blind Advisor Helps Special-Needs ClientsKane Brolin tells ThinkAdvisor about this "very different" form of planning and how he navigates the daily challenges of running a business while blind.
December 05, 2019
LPL Nabs $350M Ameriprise Team: Recruiting RoundupMeanwhile, Commonwealth picks up a $225 million group from LPL, and Stifel adds a $130 million Merrill rep.
December 04, 2019
Fisher's 'Hardball Culture' Extends to UK: ReportThe firm has some 6,000 British clients; ex-staffers say the work climate there is "bullying, intimidating, [and] controlling," according to The Telegraph.
December 04, 2019
Creative Planning Announces Yet Another AcquisitionCEO Peter Mallouk expects to announce another one or two acquisitions before year-end.