Mass. Regulator Charges Advisor, LPL Financial for Sales to Retirees

Dec 01, 2016

Rogert Zullo defrauded clients, lied to supervisors and fabricated client information, according to a complaint.

Editor's Letter: December 2016

Nov 30, 2016

Trump or no Trump, the fiduciary tide has turned.

What Congress Won’t Be Doing This Year

Nov 30, 2016

Say goodbye, for now, to the adjustment of the private foundation excise tax.

INTL FCStone Targets Underserved Firms With New Custody/Clearing Business

Nov 30, 2016

The financial services firm is hoping to appeal to small and mid-sized broker/dealers disenfranchised by larger, more expensive clearing firms, as well as wealth management firms that do business internationally.

FINRA Fines Merrill Lynch for Failures in Supervision of Leveraged Clients

Nov 30, 2016

FINRA found that Merrill Lynch didn't adequately enforce policies that govern how clients can use securities-backed loans.

LPL Financial Lands One of Its Largest Recruits Yet

Nov 29, 2016

Integrated Financial Partners, a Waltham, Mass.-based OSJ with 135 financial advisors and $4 billion in brokerage and advisory assets, has joined LPL.

Women Underrepresented in the Fund Industry

Nov 29, 2016

Women are scarce in the fund industry, pre-retirees care about legacy but not wealth, and Raymond James adds advisors from LPL and Merrill Lynch.

New FINRA Award Named After Outgoing Chief

Nov 28, 2016

FINRA names its education foundation award after Rick Ketchum, Wall Street eyes 20K and retirees are taking hipster jobs.

Advisors on the Trump Administration

Nov 27, 2016

WealthManagement.com polled nearly 350 retail-facing financial advisors in the wake of Donald Trump’s victory in the presidential election to see how they think a Trump presidency will affect their business and the industry.

The 10 Best Business Books of 2016 for Advisors

Nov 24, 2016

With so many new business books published this year, it’s hard find the titles that will really make a difference to financial professionals. We pored over 200 new titles to find the books most focused on the needs of our readers and best able to...