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Fat recruiting packages, economic turmoil and mergers between some of the country’s largest brokerage firms have driven many financial advisors to switch firms in the past 18 months. But while hiring firms are usually happy, the firms left...
The much-anticipated revival plan for UBS Wealth Management Americas will cap off a series of recent organizational changes garnering support from an important constituency: advisors at
the beleaguered brokerage, Registered Rep. has learned.
Banking reform legislation introduced Monday by Senate banking committee chairman Christopher Dodd would give the SEC greater enforcement muscle over RIAs, and would require it to conduct a study examining the effectiveness of extending the...
Senate banking committee chairman Christopher Dodd is set to introduce banking reform legislation Monday without Republican support, in part due to pressure from the Obama administration. The latest version of his legislation is said to adhere...
Senator Christopher Dodd plans to introduce his financial regulatory reform bill Monday without Republican support. He’s still hopeful that negotiations with Senator Bob Corker (R.-Tenn.) will succeed, however, he said in a statement...
New rules aimed at preventing registered investment advisors from pulling off ponzi schemes take effect Friday. Among other things, RIAs firms that hold clients assets in custody will be required to undergo annual surprise audits, conducted by...
You know things are getting hairy when clients starting turning guns on their financial advisors. A disgruntled client opened fire on a financial advisor and his son in Dallas, Texas Monday afternoon. According to a colleague of the financial...
The mainstream press on the left and the right is lately beating the drum for the fiduciary standard. It’s hard to know whether this kind of media attention will change any minds in Washington, but it could certainly influence brokerage...
Registered investment advisors report that their clients are closing their wallets and watching their dimes and quarters. A survey commissioned by Charles Schwab says that 32 percent of advisors cite “frugal spending habits” as the new...
