Find the latest industry news below.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
