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
PIABA Slams Nine Brokerages, But Is Their Report Sound?
A group of attorneys claims nine major brokerages advertise that they put the investors’ first, but deny any such duty in arbitration cases. But some say their arguments are flawed.
Wells Fargo to Allow More Advisors on Social Media
Wells Fargo Advisors will allow 1,000 of its advisors to use social media by the end of 2015 and 5,000 by the end of 2016, the St. Louis-based brokerage said.
UBS Reshuffles Regional Directors
UBS Wealth Management Americas internally promoted two complex directors to oversee financial advisors in the New York metropolitan area and southwest region.
Republicans Question Fairness of SEC In-House Judgments
The Securities Exchange Commission’s increased used of internal administrative court came under fire Thursday, as Republications raised questions about this venue’s ability to maintain due process protections and objectivity.
Wedbush Exec Wes Long Unexpectedly Steps Down
Wes Long, head of Wedbush Securities' private client services group, has left after nearly 20 years with the California-based brokerage.
Fiduciary Roundtable: Where Is the Industry Heading?
Two fiduciary experts, Knut Rostad and Brian Hamburger, discuss the recent regulatory shifts, the brokerage industry's response and the ultimate impact on the industry of an expanding fiduciary standard.
FINRA Going After Firms For Unreported Judgments, Liens
In its latest effort to authenticate its broker records database, the Financial Industry Regulatory Authority is cracking down on firms who have brokers with undisclosed liens and judgments.
The Road to the Final Four: In Depth with The Elite 8
Take a peek inside training regimens and lives of the Wealth Management Madness Elite 8.
Get to Know Your Wealth Management Madness 2015 Sweet 16 Contenders
Meet the Wealth Management Madness 2015 bracket tournament Sweet Sixteen contenders.
Throwing Money at Cybersecurity Not the Answer 1

With the sheer volume of cyber attacks occurring against financial services firms, it’s not enough for RIAs to just spend on technology or an outsourced cybersecurity solution, advisors and firm employees must understand how to use technology and have processes built around it. 

RIAs Still Fear FINRA Oversight
Many RIAs still fear FINRA will be the chosen authority to oversee their practices if the SEC moves forward with third-party examiners.
Republicans Seek 90-Day Review of DOL Fiduciary Rule
Two high-ranking Republicans say the DOL should give the public at least 90 days to review its fiduciary rule proposal when it’s released.
Robert Moore Out at LPL Financial; Dan Arnold Named Replacement 1
LPL Financial experienced another major leadership shakeup Tuesday as Chief Financial Officer Dan Arnold is set to replace outgoing Robert Moore as president.
Morgan Stanley Fills Gaps Left by Ketterer
In a memo to advisors, Morgan Stanley said it has restructured its executive team, following head of strategy and client management Doug Ketterer’s recent departure. Sara Furber and Shelley O’Connor will assume some of his responsibilities.
Investor Advocacy Group Attacks Wagner Bill
The Consumer Federation of America is fighting back on a bill aimed at delaying the Department of Labor’s fiduciary rulemaking, calling it “ill-conceived and dangerous legislation.”
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