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A Merrill Lynch sign.
Regulation & Compliance
Merrill, Harvest Volatility Management Pay $9.3M to Settle SEC Charges Over Excess FeesMerrill, Harvest Volatility Management Pay $9.3M to Settle SEC Charges Over Excess Fees

The two firms are in hot water over sales of Harvest’s “Iron Condor” strategy that resulted in $5 million in excess management fees and commissions.

byPatrick Donachie, Senior Reporter
Sep 25, 2024
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1 Min Read
Jack Devine TAG Intel
Career Moves
CIA Veteran Brings Geopolitical Intelligence to Wealth ManagementCIA Veteran Brings Geopolitical Intelligence to Wealth Management
byDiana Britton
Sep 24, 2024
1 Min Read
Mercer Chief People Officer Elizabeth Hioe
RIA
Mercer Advisors Hires New Chief People OfficerMercer Advisors Hires New Chief People Officer
byDiana Britton
Sep 24, 2024
1 Min Read
US SEC building in Washington, D.C., 2008
Regulation & Compliance
Stifel, Invesco Among 11 Firms Paying $88M To Settle SEC Off-Channel Communications ViolationsStifel, Invesco Among 11 Firms Paying $88M To Settle SEC Off-Channel Communications Violations
byPatrick Donachie
Sep 24, 2024
1 Min Read
Summit Financial Office RIA news
RIA
Summit Financial Stakes 2 RIAs With $470M in AssetsSummit Financial Stakes 2 RIAs With $470M in Assets
byDavid Bodamer
Sep 24, 2024
1 Min Read
Michael Nessim, CEO, president and managing partner of Kingswood U.S.
RIA
Kingswood Acquires $1B Eudaimonia GroupKingswood Acquires $1B Eudaimonia Group
byDiana Britton
Sep 24, 2024
1 Min Read
Debra Brennan Tagg NewEdge Advisors
RIA
Longtime Osaic Advisor Departs for NewEdge
Longtime Osaic Advisor Departs for NewEdge
Sep 23, 2024
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1 Min Read
byDiana Britton, Managing Editor
pole vaulting
RPA
Attributes of a Great Retirement Plan Advisor
Attributes of a Great Retirement Plan Advisor
Sep 23, 2024
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1 Min Read
byFred Barstein, The Retirement Adviser University,
commonwealth-building-NEW.jpg
Wirehouse
Commonwealth Brings Pooled Employer Plan to Advisors
Commonwealth Brings Pooled Employer Plan to Advisors
Sep 20, 2024
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1 Min Read
byDiana Britton, Managing Editor
The WealthStack Podcast interVal Trevor Greenway
Insights & Analysis
The WealthStack Podcast: Why Business Owners Deserve Better from Their Advisory Partners with Trevor Greenway
The WealthStack Podcast: Why Business Owners Deserve Better from Their Advisory Partners with Trevor Greenway
Sep 20, 2024
byShannon Rosic - Moderator, Director of WealthStack Content and Solutions
GrayscaleWebinar_092024_iStock-1491419392.jpg
Insights & Analysis
Ethereum in Focus: Building Future-Focused Investment Portfolios
Ethereum in Focus: Building Future-Focused Investment Portfolios
Sep 20, 2024
Hightower office logo
Industry News & Trends
Hightower Barred From Enforcing Non-Solicitation on Advisor Suing for Age Discrimination
Hightower Barred From Enforcing Non-Solicitation on Advisor Suing for Age Discrimination
Sep 20, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
'Biblically Minded' Firm Settles SEC Charges Over Misleading Strategy
'Biblically Minded' Firm Settles SEC Charges Over Misleading Strategy
Sep 19, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
The Diamond Podcast for Financial Advisors Merrill breakaways
Career Moves
The Diamond Podcast for Financial Advisors: Merrill Breakaway Advisor Roundtable
The Diamond Podcast for Financial Advisors: Merrill Breakaway Advisor Roundtable
Sep 19, 2024
byLouis Diamond, President
Ameriprise came in second with 7540 advisors last year
Industry News & Trends
Job Candidate Sues Ameriprise Over Branch Manager's Alleged Sexual Advances
Job Candidate Sues Ameriprise Over Branch Manager's Alleged Sexual Advances
Sep 18, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
RPA 401k Real Talk with Fred Barstein retirement news logo in a gray background | RPA 401k Real Talk with Fred Barstein retirement news
Retirement
401(k) Real Talk Episode 122: September 18, 2024
401(k) Real Talk Episode 122: September 18, 2024
Sep 18, 2024
byFred Barstein, The Retirement Adviser University,
sec-seal-new.jpg
Regulation & Compliance
Broker/Dealer First Horizon Hit with Reg BI Violation Over Structured Notes Recommendations
Broker/Dealer First Horizon Hit with Reg BI Violation Over Structured Notes Recommendations
Sep 18, 2024
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1 Min Read
byDavid Bodamer, Executive Editor, Investments
WealthStack_iStock-1401461124.jpg
Insights & Analysis
Insights from the 2024 WealthStack Survey
Insights from the 2024 WealthStack Survey
Sep 18, 2024
digital hacker crypto fraud
Regulation & Compliance
SEC: Global Fraudsters Targeted Crypto Investors with 'Relationship Scams'
SEC: Global Fraudsters Targeted Crypto Investors with 'Relationship Scams'
Sep 17, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
MorganStanleyWebinar_iStock-1189286664.jpg
Insights & Analysis
Navigating 2024: Politics, Policies & Portfolios
Navigating 2024: Politics, Policies & Portfolios
Sep 17, 2024
Dougal Williams Vista Capital Partners CEO
Industry News & Trends
Portland-Based Vista Capital Partners Names New CEO
Portland-Based Vista Capital Partners Names New CEO
Sep 17, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
EP Wealth headquarters office RIA news
Wealth Planning
EP Wealth Grows Southeast Hub with $1.1B Atlanta Firm
EP Wealth Grows Southeast Hub with $1.1B Atlanta Firm
Sep 17, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
RIA Edge podcast Nate Lenz concurrent
Client Relations
RIA Edge Podcast: Talent Development and Client Engagement with Nate Lenz
RIA Edge Podcast: Talent Development and Client Engagement with Nate Lenz
Sep 17, 2024
byDavid Armstrong, Executive Director, Content and User Engagement at WealthManagement.com
Small RIAs Future Proof
RIA Edge
Small RIAs: ‘We Can Use Size to Our Advantage’
Small RIAs: ‘We Can Use Size to Our Advantage’
Sep 17, 2024
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1 Min Read
byDiana Britton, Managing Editor
Raymond James office
Industry News & Trends
Deal Roundup: $1B Utah Team Joins Raymond James From LPL
Deal Roundup: $1B Utah Team Joins Raymond James From LPL
Sep 16, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
boxing-gloves-dollars.jpg
RPA
Convergence Pitting Advisors Against Record Keepers at the Workplace
Convergence Pitting Advisors Against Record Keepers at the Workplace
Sep 16, 2024
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1 Min Read
byFred Barstein, The Retirement Adviser University,
Howard University campus
Industry News & Trends
Four Tips to Building a College List Without Killing Yourself Financially
Four Tips to Building a College List Without Killing Yourself Financially
Sep 13, 2024
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1 Min Read
byLynn O'Shaughnessy, Columnist: College Planning
Wells Fargo
Regulation & Compliance
Wells Fargo Fined $3M For Missing 'Unsuitable' Short-Term Trades
Wells Fargo Fined $3M For Missing 'Unsuitable' Short-Term Trades
Sep 12, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
New York Stock Exchange american flag
Regulation & Compliance
SEC to Vote Next Week on Part of US Stock-Trading Revamp Package
SEC to Vote Next Week on Part of US Stock-Trading Revamp Package
Sep 12, 2024
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1 Min Read
byLydia Beyoud and Katherine Doherty
Drew Kilber Wilde Wealth Management Cetera
RIA
$3.6B Cetera OSJ Recruits Advisor to Lead New Family Office Division
$3.6B Cetera OSJ Recruits Advisor to Lead New Family Office Division
Sep 12, 2024
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1 Min Read
byDiana Britton, Managing Editor
Diamond Podcast for Financial Advisors Should I Stay or Should I Go book Mindy Diamond
Career Moves
The Diamond Podcast for Financial Advisors: An Advisor’s Guide to Thinking Through Their Biggest Decision
The Diamond Podcast for Financial Advisors: An Advisor’s Guide to Thinking Through Their Biggest Decision
Sep 12, 2024
byMindy Diamond, Jason Diamond
etoro-sign-wall.jpeg
Regulation & Compliance
SEC Fines eToro $1.5M For Acting as Unregistered Broker Over Crypto Trading
SEC Fines eToro $1.5M For Acting as Unregistered Broker Over Crypto Trading
Sep 12, 2024
|
1 Min Read
byPatrick Donachie, Senior Reporter
Hightower office logo
RIA
Hightower Stakes $2.3B Florida RIA
Hightower Stakes $2.3B Florida RIA
Sep 12, 2024
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1 Min Read
byDiana Britton, Managing Editor
sec-building-new.jpg
Regulation & Compliance
SEC Charges Tennessee Advisor with Faith-Based Strategy of Defrauding Investors
SEC Charges Tennessee Advisor with Faith-Based Strategy of Defrauding Investors
Sep 11, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
rising stars wealthies 2024
RIA
2024 Rising Stars of the Year Honorees
2024 Rising Stars of the Year Honorees
Sep 11, 2024
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6 Slides
byWealthManagement.com Staff

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