See the latest on the Wealth Management Industry including M&A activity, diversity and inclusion and RIA updates.
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Mariner is suing three advisors who recently left to join Savvy Wealth's RIA affiliate. In the suit, Mariner argues Savvy poaches books of business without “regard to contractual obligations.”
The 6-3 decision deals a blow to an administrative system the SEC once used to adjudicate more than 100 cases a year before scaling back amid legal challenges.
According to the Advisor Sentiment Index, financial advisors are feeling better about the prospects of the stock market, even as their view of the overall economy dims slightly.
Open, honest and candid discussion about the DOL rule in Texas court, DC asset growth due to passive investing, Fisher's minority sale, Wealthies finalists and more.