Financial Advisor Blog - Page 74 - Financial Advisor Transitions

Broker-Dealers Produced Better Results Than Expected in 2022

January 12th, 2023

2022 was not the best year for the retail broker-dealer industry, but it could have been much worse. Across the retail brokerage industry, broker-d...

SEC Makes Improvements to Its Whistleblower Program

January 11th, 2023

The Securities and Exchange Commission (SEC) is proclaiming improvements to its whistleblower program.

CFP Board Announces Review of Competency Standards

January 10th, 2023

The Certified Financial Planning Board of Standards (CFP Board) announced that it would form a Competency Standards Commission in early 2023.

Wells Fargo To Pay Nearly $3.7 Billion Fine

January 9th, 2023

Wells Fargo & Co has settled with the Consumer Financial Protection Bureau (CFPB) to resolve allegations that it harmed more than 16 million people...

UBS Informs Branch Managers They Will Need To Find New Roles

January 6th, 2023

UBS Wealth Management USA has informed dozens of branch managers that they will need to find new positions in the firm by early 2023.

Goldman Sachs To Eliminate Up To 4,000 Jobs

January 5th, 2023

As CEO David Solomon seeks to contain a slump in profit and revenue, Goldman Sachs Group Inc. plans to eliminate up to 4,000 jobs or 8% of its work...

FINRA Foundation Research Examines Changing Investor Demographic

January 4th, 2023

A new study by the Financial Industry Regulatory Authority's (FINRA) Investor Education Foundation (FINRA Foundation) reveals interesting facts abo...

SEC "Pump and Dump" Case Reveals How Scammers Dupe Investors

January 3rd, 2023

The Securities and Exchange Commission (SEC) has brought fraud charges against eight social media influencers accused of promoting languishing stoc...

15 Funds Destroying The Most Investor Wealth Over the Last Decade

January 2nd, 2023

Amy Arnott, a portfolio strategist for Morningstar Research Services, recently shared her analysis of the fifteen funds that have destroyed the mos...

LPL Boasts of its Employee Model Ambitions

December 22nd, 2022

LPL's employee channel, Linsco, launched three years ago, has grown into its own in 2022, and has successfully attracted roughly 25 teams, accordin...