How Advisors Feel About Investing in Marijuana

Aug 01, 2017

WealthManagement.com conducted an email survey the week of July 10, asking advisors for their views on marijuana industry investments. More than 400 advisors participants. Here are their responses...

Swindling Scandal Erupts in Connecticut

Aug 01, 2017

A team of swindlers costs victims millions, SEC takes on fraud, group drops Cetera for Raymond James.

Judge Pushes DOL on Exemptions, Authority Over IRAs

Aug 01, 2017

A federal appeals court judge asked a lot of questions of the Department of Labor, focused particularly on prohibited transaction exemptions that already exist under ERISA.

New U.S. Rule on Class Actions Survives First Challenge

Jul 31, 2017

Acting U.S. Comptroller of the Currency Keith Noreika was unable to complete a thorough review of the rule in time to make a petition.

Raymond James Is Focused on West Coast Growth

Jul 31, 2017

Raymond James takes on the West Coast, study shows your face can show your wealth, and U.K. wealth advisors are facing the same issues as U.S. advisors.

UBS Wealth Unit Posts ‘Best-Ever’ Second Quarter, While Bank Misses Analyst Expectations

Jul 28, 2017

Wealth Management Americas reported a record second quarter, but the Swiss bank’s equity ratio fell, stirred investors.

LPL CEO: DOL Will Create More Movement, Consolidation

Jul 28, 2017

The independent broker/dealer chief believes the firm will be on the right side of the trend.

Schwab: Call Your Elected Officials About These Three Issues Today

Jul 28, 2017

Amid all the other Washington drama, the Investment Adviser Association held a Lobbying Day to discuss the fiduciary rule, advisor exams, cybersecurity and more.

HighTower Plans to Offer Startup Capital to Breakaways

Jul 27, 2017

Financing—in the form of a five- to seven-year loan—will now be available to new teams affiliating with the firm.

Goldman Partners With Fidelity to Offer Loans to Wealthy Clients

Jul 27, 2017

Goldman's deal with Fidelity is the latest sign that Chief Executive Officer Lloyd Blankfein is looking for ways to expand the private wealth business.