Robertson Stephens Relaunches Wealth Group With Private Equity Backing
By Janet LevauxAmong its new executives is Mike Curley, the former chief compliance officer of First Republic Securities, who oversaw 600-plus registered reps.
December 20, 2018
A Fresh Way to Overcome Growing PainsIn 2019, taking a different perspective on change might be your advisory firm's ticket to success.
December 19, 2018
Digital Assets and ICOs to Get More Clarity, Face More Rules in 2019Attorneys see more CFTC guidance on virtual currencies as commodities, and continued fiduciary pressure on advisors and brokers involved in crypto.
December 18, 2018
TD Ameritrade Boosts Onboarding With Platform UpgradesEight tech firms are integrating with the Veo One platform.
December 18, 2018
Putnam Investments Launches 'Always Active' CampaignThe campaign is designed to build awareness of the firm's active management capabilities.
December 17, 2018
Unpaid Arb Awards Decreasing but Still a ProblemUnpaid awards represent "about 2% of the nearly 13,000 customer cases closed between 2012 and 2016," said FINRA's Berry.
December 17, 2018
Details on What the New FPA Is (and Isn't)According to the group's incoming president, chapters are not set to be eliminated, though their legal entities would be.
December 17, 2018
SEC Warns RIAs to Review Electronic Communication PoliciesAn OCIE Risk Alert zeros in on advisor infractions of the Books and Records and Compliance Rules.