Turning Employee Turnover into a Positive for Your Firm

Aug 18, 2021

There's never been a better opportunity to recruit good people than right now.

Transparency With Diana B.: Bad Timing and Bearing the Loss of Loved Ones

Aug 18, 2021

In her first year of building a wealth management firm, advisor Anne Marie Stonich was also caring for a newborn baby and struggling with her mother’s death. But the events have positively shaped her view on life and her work as an advisor.

Michael Kitces' #FASuccess Podcast: Margaret Dechant on Breaking Away to Full Independence

Aug 17, 2021

Margaret Dechant, CEO of 6 Meridian, explains the reasoning behind the firm's decision to go fully independent instead of using one of the popular breakaway broker support platforms.

ISC Advisors Settles SEC Charges Over Share Class Disclosure Violations

Aug 17, 2021

The SEC argued that ISC, with more than $1 billion AUM, also failed to self-report during the SEC's Share Class Selection Disclosure Initiative even though it was eligible to do so.

Fired Merrill Advisor Sentenced to Three Years in Prison for Defrauding Clients of $3M

Aug 16, 2021

Marcus Boggs pleaded guilty earlier this year for swindling clients, including one man who had received a large civil settlement from a wrongful murder conviction. Boggs was sentenced to more than three years in prison.

Maryland Securities Commissioner to Become Next NASAA President

Aug 13, 2021

Melanie Senter Lubin will succeed current President Lisa Hopkins, West Virginia’s senior deputy securities commissioner, after NASAA's annual meeting in September.

Facing the Reality of Cognitive Decline

Aug 12, 2021

'Cognitive decline is another risk, so let's plan for it just like we're planning for inflation or investment losses.'

Three Ways to Connect Your Clients

Aug 12, 2021

You’re looking to create a sense of community linked to your service offering.