Scottrade to Pay $250K Fine to Massachusetts Over Sales Contests
By Melanie WaddellThe order ends a two-year dispute between Scottrade and Commonwealth Secretary William Galvin.
August 25, 2020
Schwab Model Portfolios Now on Envestnet PlatformThe new Schwab Model Portfolios for RIAs, available upon request, include seven risk-based allocations with a behavioral overlay.
August 25, 2020
Pershing Streamlines Alts Offerings for AdvisorsThe clearing and custodial firm has integrated its technology with the CAIS and iCapital Network platforms.
August 25, 2020
RIAs Adding Clients, Boosting Revenue During Pandemic: TD AmeritradeThree in five advisors say they've continued to bring in new clients, a survey finds.
August 25, 2020
Hightower Strikes 6th Deal of 2020 in North CarolinaIts investment in a $1.3 billion wealth firm comes just two weeks after it bought a stake in a Texas group.
August 25, 2020
Think Windfalls Are Just Good Luck? Think Again — Prospecting in a Pandemic, Part 2In the second of a four-part series, I look at why it pays to get ready for these career-changing opportunities.
August 24, 2020
$400M Merrill Team Goes IndieThe group is led by Blaine Werner, who spent 43 years with the Thundering Herd.
August 24, 2020
Shed the Shame: Taking a PPP Loan Is Not What You ThinkAs firms grapple with this dilemma, it's important to note that PPP is not a bailout.