Find the latest industry news below.
Ex-Waddell & Reed Rep Failed to Disclose Criminal Charges: FINRA
on September 25, 2020 at 9:45 pm
Firm's former rep was charged with DUI and possession of a Schedule 1 controlled substance, according to BrokerCheck.
Raymond James Reports Big Jumps in Fee-Based Assets, Cash
on September 25, 2020 at 8:21 pm
The results were reported a week after the firm announced layoffs of 500 staffers.
Orion-Brinker Deal Is Done (Already)
on September 25, 2020 at 8:14 pm
It was "beneficial to both firms to get it done as quick as possible and move forward," Joel Bruckenstein said.
4 Key Macro Factors to Watch on Our Road to Recovery
on September 25, 2020 at 7:59 pm
For one thing, don't just watch what CEOs say — watch what they do.
U.S. Stocks See Third-Biggest Outflow Ever
on September 25, 2020 at 7:53 pm
Investors exited the hottest sector of the market rebound, pulling the most money out of tech funds since June 2019.
Envestnet, Wells Fargo Clinch Data Sharing Deal
on September 25, 2020 at 7:06 pm
Envestnet | Yodlee previously signed data sharing deals with Charles Schwab, Citi and JPMorgan Chase.
FINRA Moves Ahead on Expungement Changes
on September 25, 2020 at 4:23 pm
The changes fill holes in the process, but expungement shouldn't be handled by arbitrators at all, investor lawyers say.
9 Pro Athletes Who Were Charged With Financial Misdeeds
on September 25, 2020 at 4:06 pm
Wide receiver Josh Bellamy is in PPP loan-related trouble, but he's not the only professional athlete who's caught the eye of regulators.
Vanguard to Liquidate 2 Money Market Funds
on September 25, 2020 at 3:09 pm
The fund giant cited "changing market dynamics" in closing the funds to new investors Friday.
Pacific Resources Gets a CEO and a President: Personnel Moves
on September 25, 2020 at 5:06 am
Principal, Zing and Cambia also have personnel moves news.
6 More Reasons to Lead a Zoom Webinar
on September 25, 2020 at 4:33 am
One intermediate goal is to get something going on LinkedIn.
New Trump Executive Order Treats Health Coverage System Gently
on September 25, 2020 at 4:23 am
Trump said he wants the Supreme Court to kill the ACA but believes his team has improved it.
Edward Jones Advisor: How New Tech Has Boosted Client Service During Pandemic
on September 25, 2020 at 4:13 am
Webinar Hub and My Priorities have been especially useful, advisor Alyssa Jennings tells ThinkAdvisor.
What Happens to the Economy and Markets After the Election?
on September 25, 2020 at 3:57 am
Moody's Analytics economists predict how the economy will fare depending on who wins the White House and Congress.
Why Advisors Are Still a Long Way From Embracing AI: Schwab
on September 25, 2020 at 3:44 am
We're still "early on in building the business case" for advisors, Schwab managing director Kyle Caffey says.