Megan Leonhardt

Megan
Leonhardt

Megan Leonhardt is senior editor for REP. magazine and WealthManagement.com, regularly penning articles around the wonderful world of the wirehouses, as well as writing on regulatory updates, legal cases and compliance issues.

 

Articles
The Pros and Cons of Cooperating with Regulators
While self-reporting offenses and cooperating with authorities may help advisors and firms get off easier, industry lawyers say there are negative consequences.
"Wolves of Wall Street" Are Still Out There: FINRA 1
There are still brokers out there acting like the "Wolf of Wall Street," and FINRA is making it a high priority to shut them down, said the agency's head of enforcement at a law seminar in New York Friday.
Raymond James Says Rebate Checks in the Mail
After Raymond James agreed to pay back clients who were wrongly sold more expensive classes of mutual funds, the firm made good on its promise, sending out checks to clients this week.
DOL Rule, Anti-Money Laundering Top Priorities for Raymond James
The Department of Labor’s proposed fiduciary rule and anti-money laundering provisions are top-of-mind for Raymond James, Scott Curtis, president of Raymond James Financial Services, told advisors Tuesday.
Morgan Stanley Wealth Unit Opens 2015 Strong
Morgan Stanley’s wealth management unit reported record profits and revenue over the past year, despite losing over 160 advisors.
DOL Moves Industry Closer to Harmonization 1
The Department of Labor recently released fiduciary proposal that could mark the first step toward an uniform industry standard.
Regulators Concerned B/Ds Recommending Unsuitable Products to Seniors
With seniors more dependent than ever on their investments for retirement, regulators examined firms, only to find a number of broker/dealers may have recommended unsuitable products and not adequately disclosed risks.
The Wealthiest Women in Tech
The number of successful, wealthy women is on the rise, even in traditionally male-dominated industries such as technology. Check out which women are dominating the tech sector.
Low Interest Rates Drive Down BofA Wealth Earnings

Bank of America’s wealth unit reported a decline in revenues and a 10 percent drop in profits from a year ago due to low interest rates, even as the bank posted a 9 percent increase in profits.

DOL Releases Rule Aimed at Curbing Advisor Conflicts 3

The public got its first look Tuesday at the Department of Labor’s long-awaited proposed fiduciary rule, which included several exemptions designed to protect investors while providing flexibility to financial advisors.

Wells Fargo Wealth Unit Ballast as Bank's Profit Declines
Wells Fargo’s wealth business was the bright spot in an otherwise bleak first quarter, as the San Francisco-based bank reported its first decline in profits in almost five years.
DOL Fiduciary Rule Released Publicly
Less than two months after the Department of Labor submitted its fiduciary rule for advisors of retirement accounts for review, the Office of Management and Budget publicly released the proposal Tuesday afternoon.
Twelve Estate Planning Lessons from Game of Thrones
All men must die. For fans of Game of Thrones, the show's parade of deaths over four seasons provides a practical guide to succession planning do’s and don’ts. Check out our top twelve.
Millennials Passive When Picking Investments
When it comes to choosing investment products, millennials are largely passive and far more likely to go with what their employers offer, such as 401(k) plans with mutual funds and life insurance, than independently set up investment strategies.
Cetera Gears Up for More Growth
Cetera Financial Group has hired AIG Advisor Group’s David Ballard to serve as its chief operating officer in a move that pivots the firm toward future growth through scaled operations and additional acquisitions.
Industry Newsletters
Investment Category Sponsor Links

 

Sponsored Introduction Continue on to (or wait seconds) ×