Overheard at the Wealth Management Industry Awards Tech Roundtables

Sep 21, 2018

Tech leaders sound off on a range of topics at WealthManagement.com’s tech roundtable event.

Baird Add Brokers from Morgan Stanley, Wells Fargo

Sep 21, 2018

The advisors in Wisconsin and North Carolina were managing an aggregate of $235 million.

SEC Indicts Husband and Wife of World Tree Financial for “Cherry-Picking” Scheme

Sep 21, 2018

Favored clients allegedly got the winning trades and others got the losers so the firm could profit more.

Feds Bust $364 Million Ponzi Scheme Targeting Advisors, Family Offices

Sep 20, 2018

Defendants told investors they were buying portfolios of bad consumer debt; instead money went to a multimillion-dollar sports car collection, casinos and jewelry.

Cetera Loses $300 Million Multop Financial to LPL

Sep 19, 2018

Multop Financial, which provides wealth and tax-planning services, has as many accountants as it does advisors.

Robo Advisor qplum Adds Wharton Professor, Ex-Goldman Sachs Portfolio Manager

Sep 18, 2018

Targeting institutional assets, qplum’s personnel additions signal new growth goals.

Family Team Managing $203 Million Depart Wirehouse for Raymond James

Sep 17, 2018

The head of the group has more than 35 years of experience.

Scenes from the 2018 Wealth Management Industry Awards Gala

Sep 17, 2018

WealthManagement.com hosted nearly 500 industry leaders at its fourth annual Wealth Management Industry Awards at the Ziegfeld Ballroom in New York City on Sept. 13, 2018.

Former IBD CEO Larry Roth Launches Strategic Consultancy

Sep 12, 2018

Roth’s new firm will provide growth consulting, governance expertise and M&A advisory services to wealth management firms.

FINRA Files First Crypto Complaint

Sep 11, 2018

The industry regulator’s complaint accuses a broker of securities fraud connected to his cryptocurrency “HempCoin.”