Ron Carson's Registration Drop Shows 'FINRA's Days Are Numbered'
By Janet Levaux"FINRA is still losing BDs," consultant Tim Welsh says. "No one is starting them. It's not happening."
December 06, 2018
Ex-Waddell & Reed Team Sues RIA for Holding Them 'Hostage'The team sued for fraud after the RIA failed to deliver on promises, their lawyer tells ThinkAdvisor.
December 06, 2018
CFP Board's Re-Entry Program for Women Shows Signs of SuccessAfter a pilot test with five firms, the Board wants more firms to join.
December 05, 2018
SEC Custody Rule Up for ReviewCommenters will likely request that the rule be scaled back in certain respects, said attorney Cliff Kirsch.
December 05, 2018
Wells Fargo's RIA Plans: Big Deal or 'Blip on the Radar'?Industry watchers debate the wisdom of the wirehouse's new approach and what it could mean for advisor retention and its bruised brand.
December 05, 2018
TD Ameritrade Launches Tech Awards With a TwistAt TDAI LINC, Innovation Quest will recognize, and help fund, apps that can "transform" RIAs' practices.
December 05, 2018
CFP Board Doubles Down on Mentoring to Address Advisor Diversity IssueCenter expands women mentors program to help promote a more diverse planning profession.
December 04, 2018
Why Are Advisors Reluctant to Hop on the ESG Train?ESG investing hasn't yet caught fire with the advisor community. Practical Perspectives asked why.