Megan Leonhardt

Megan
Leonhardt

Megan Leonhardt is senior editor for WealthManagement.com and REP. magazine, reporting on national brokerage firms and the independent advisor landscape, as well as regulatory updates, legal cases and compliance issues. Prior to covering the financial services industry, Megan worked as a legal reporter breaking stories on major law firms and writing on significant court cases all over the country.
 

Articles
Independent Legacies: Wills of Our Founding Fathers
In honor of Independence Day, here is a look at the wills of nine of the nation's founding fathers.
Fourteen Estate Planning Lessons From 'Game of Thrones' 3
All men must die. For fans of Game of Thrones, the show’s parade of deaths over five seasons provides a practical guide to succession planning do’s and don’ts. Check out our top 14.
ValMark Securities Prepares for Life After the DOL
A small, Ohio-based independent b/d with a large insurance business has made some significant changes ahead of the DOL’s fiduciary rule, including creating a new RIA and shifting to a more fee-based business.
CFP Board Imposes Mandatory Arbitration to Resolve Disputes 2
The CFP Board will force advisors who hold the certified financial planner designation to arbitrate all future disputes with the organization.
Wells Fargo FiNet’s Brand, Resources Winning HNW Advisors
Wells Fargo's independent advisor unit is attracting more high-net-worth advisors, the latest being Jim Murray, a former U.S. Trust advisor with nearly $700 million in assets.
Turns Out Robots Don't Always Offer Conflict-Free Advice Either
A new report by the Financial Industry Regulatory Authority casts doubt on robo advisors’ ability to eliminate conflicts of interest.
AIG Advisor Group to Pay $9.5 Million to Discharge Mutual Fund Conflicts
AIG Advisor Group agreed to pay $9.5 million to settle allegations their advisors steered clients into mutual fund share classes that would generate 12b-1 fees instead of lower-fee products.
Advisors Not Prepared for DOL Fiduciary Rule
Over half of advisors are waiting on the sidelines until the Department of Labor releases its finalized fiduciary rule, even though 73 percent feel it will require significant changes.
Raymond James Fined for Enabling Client Privacy Violations 1
The Financial Industry Regulatory Authority levied a $500,000 fine against Raymond James earlier this week, alleging the St. Petersburg, Fla.-based firm caused newly recruited advisors to violate customer privacy.
2016 Independent Broker/Dealer Report Card
Independent brokers are still largely satisfied with the firms they affiliate with, though scores have dropped slightly over recent years.
FINRA Bans Advisor Recommending Risky Investments to Seniors
FINRA disciplinary panel barred David Joseph Escarcega from the securities industry and fined the former Strategic Financial Partners advisor $52,270.
FINRA Ejecting Firms That Skip Out on Arbitration Bills
For firms that don’t pay their arbitration awards, Wall Street’s self-regulator plans to bar them from the industry and could seek to impose new rules to make collecting awards easier for investors.
Inside a Successful Succession
The key ingredients for a smooth transition? Planning and patience.
Grandfathering of Assets Under DOL Fiduciary Proposal, Explained
Transactions made in accounts prior to the implementation date would not be required to adhere to the new standards.
Main Street B/Ds Form New Trade Group
A new industry trade group made up mostly of regional broker/dealers hopes to separate itself from Wall Street and fight overregulation.
Comments
FINRA's Recruiting Disclosure Rule Passes to SEC
September 24, 2013

Thanks Ron, I think you have some valid points. You mentioned smaller bonuses on the RIA and independent sides, do you think that the wirehouses and other IBDs offering larger...

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