LPL Picks Up Veteran Exec From Altruist
By Jeff BermanPete Dorsey has joined LPL as executive vice president of Institution Services, replacing Shawn Mihal.
September 21, 2022
How Advisors Can Get Ready for New SEC Marketing RuleHere's what to know about embracing new marketing channels compliantly.
September 21, 2022
New Raymond James Program Helps Advisors With the Wealthiest ClientsThe inaugural Private Wealth Advisor Program class will complete the six-month program this fall.
September 20, 2022
Henschen: Is It the Right Time to Check Out These 4 BDs?Here are some key qualities that advisors may want to look for in both their broker-dealer and their timepiece.
September 20, 2022
Waddell & Reed Ordered to Pay $776K Over Reverse ChurningThe firm allegedly breached its fiduciary duty by keeping clients who traded infrequently in wrap-fee accounts.
September 15, 2022
UBS Backs Ethic Asset Management Platform: Tech RoundupAlso, Hearsay Systems is adding new functionality to help advisors comply with the SEC's new Marketing Rule.
September 14, 2022
Pretrial Hearing Set for LPL Network Firm Employee Charged in Double MurderThe next hearing for Ramy Fahim has been scheduled for Dec. 2.
September 13, 2022
Penny Phillips, Dave Welling, Jason Wenk: How to Serve More Clients, BetterThe three CEOs highlight how advisors can embrace change and build trust.