Billion-Dollar Merrill Private Banking Team Joins HighTower
By Joyce HansonThe $1 billion Merrill Lynch private banking team joined Chicago-based RIA HighTowers New York office on Friday.
March 02, 2012
At SSG, a Focus on Compliance, Including Expert Advice for State- and SEC-Registered RIAsSome states are shifting field examiners to handle registration duties for the Big Switch, says Chris Winn of AdvisorAssist; states reaching out to RIAs, says NCS Kellli Capitano.
March 02, 2012
FINRA to Restructure BrokerCheck, Giving Investors More PowerProposed changes include not only unifying BrokerCheck and the SECs IAPD system, but also divulging broker/advisor test scores.
March 01, 2012
Greater Female Representation Pays Off for the Financial Services IndustryWere in a relationship business and women are good at relationships; so it should come as no surprise that, when given the opportunity, women succeed at all levels of the financial services industry.
March 01, 2012
Advisors Weigh In on Presidential RaceA recent poll of individual advisor members of the Financial Services Institute (FSI) found that those representatives overwhelmingly believe former Massachusetts Governor Mitt Romney will win the Republican presidential nomination, the Senate will shift to Republican control and that the economy will stay flat while taxes will go up.
March 01, 2012
SEC Warns: Watch Out for Agency ImpostersThe SEC has issued an investor alert to warn of impersonators who claim to be SEC employees for the purpose of defrauding individuals.
March 01, 2012
At SSG Conference, CEO Mangan Focuses on Trust and IndependenceAt first national conference of Shareholders Service Group, leader Peter Mangan says fiduciary standard shows investors who they can trust.
February 28, 2012
SEC Issues Risk Alert on Unauthorized Trading in Brokerage, Advisory AccountsThe Risk Alert issued by the SEC warns that although BDs and RIAs are subject to different regulatory requirements, both face similar risks of financial and reputational losses arising from unauthorized trading.