2024年10月3日 · The 2025 plan, announced this week in an internal memo, excerpts of which were viewed by FA-IQ, increases incentives for advisors who share accounts with corporate …

2025年1月13日 · Mariner's latest addition is Cardinal Investment Advisors, a firm founded in 2001 that specializes in serving insurance companies, corporate retirement plans, health care …

2025年1月9日 · Bart Lewellyn and his son, Alex Lewellyn, join LPL's core platform, affiliating with the firm in a 1099 relationship and using a shared Form ADV. The advisors, who are based in …

2025年1月30日 · Morgan Stanley is facing a lawsuit from a financial advisor who claims that misrepresentations made when he was recruited to the wirehouse from Merrill Lynch resulted …

2025年1月3日 · Major U.S. banks have been exiting the Net-Zero Banking Alliance at pace, with Morgan Stanley the latest leading lender to ditch the carbon emissions group, Bloomberg reports.

2025年1月21日 · Transamerica Failed to Disclose Incentives Paid to FAs: SEC The company breached its fiduciary duty and will pay a fine of $2.9 million after not disclosing that …

2024年11月7日 · Former President Donald Trump 's sweeping win in the presidential election has big implications for the Department of Labor 's roughly 15-year-long efforts to install a rule …

2024年11月4日 · Stifel will onboard " [a]n expected 40 to 50 advisors, along with the associated customer accounts," from B. Riley's W-2 wealth management segment, B. Riley said Friday in …

2025年1月6日 · The industry plans to lobby President-elect Donald Trump's administration to be able to include less liquid, higher-fee investments, such as leveraged buyouts, in defined …

2024年10月24日 · Merrill Keeps Advisor Comp Steady for 2025 Merrill Lynch’s 2025 advisor compensation plan, announced Wednesday, includes one minor enhancement and no rollbacks.