$2M Wells Fargo Team Moves to Janney
By Janet LevauxThe recruiting news comes just days after a scathing report about the bank's release of private information on 50,000 clients and advisors.
July 23, 2017
Wells Fargo Data Release Said to Lead to Regulatory FocusRegulators are said to have started asking questions about the breach after the data was mistakenly provided to an attorney.
July 21, 2017
Morningstar, MMI Launch Sustainable Investing InitiativeThe program is focused on educating financial advisors about ESG investments because an increasing number of clients are demanding them.
July 21, 2017
Top-Rated 529 College Savings Plans: Savingforcollege.comThere are 17 plans with top rankings based on their flexibility, costs, investment performance and more.
July 21, 2017
Schwab’s Robo-Related Assets Surge to $19.4B in Q2Meanwhile, TD Ameritrade says its total client assets jumped 20% from last year.
July 21, 2017
FINRA Advances Crackdown on Bad BrokersFINRA also wants the SEC to allow the SRO to expand its pool of non-arbitrators.
July 21, 2017
Retiree Portfolios in the New Normal: The Envelopes Strategy, Pt. 1The purpose of decades of saving is to fund decades of spending.
July 21, 2017
Cetera Firms to Pay $2.5M in Restitution; SEC Bars Lawyer: EnforcementAccording to FINRA, two Cetera firms disadvantaged certain customers by causing them to pay higher fees than required.