Financial Advisor Blog - Page 76 - Financial Advisor Transitions

Sanctuary To Pay $2 Million To Former CEO

December 7th, 2022

Sanctuary Wealth, formerly known as David A. Noyes & Co., an Indiana-based broker-dealer, has lost a year-long legal battle over the termination of...

CFTC Urges Crypto Whistleblowers To Come Forward

December 6th, 2022

The Commodity Futures Trading Commission (CFTC) has announced that crypto whistleblowers should come forward following FTX Group's implosion.

ThinkAdvisor's Guide To Fine Dining With Clients

December 5th, 2022

As advisors develop social relationships within the high-net-worth community, they often find themselves going out to dinner.

Recruiters Prepare for FINRA's Annual Pause on Processing Registration R...

December 2nd, 2022

Advisors looking to transition from one firm to another firm must do so before December 22nd in order to avoid the Financial Industry Regulatory Au...

Financial Services Firms To Increase Compliance Staff

December 1st, 2022

According to a recent survey of industry compliance leaders, the Securities and Exchange Commission's (SEC) aggressive regulatory agenda is causing...

Financial Advisors Increasingly Drawn To Alternative Investment Strategies

November 30th, 2022

A new study by CAIS and Mercer shows that nearly 90% of advisors surveyed plan to increase allocations to alternatives over the next two years.

UBS Compensation Plan to Remain Unchanged

November 29th, 2022

UBS Wealth Management USA informed its advisors that they would not have to undergo another round of compensation changes.

Former J.P. Morgan Advisor Suspended By FINRA

November 28th, 2022

According to a Letter of Acceptance, Waiver, and Consent (AWC), Theodore Serure has agreed to a four-month suspension and a $20,000 fine after borr...

FTX.com Assets Frozen By Bahamas Securities Commission

November 23rd, 2022

The Bahamas Securities Commission has announced that it will freeze FTX Digital Markets assets.

Uproar Results Over Advisor Being Sanctioned by CFP Board

November 22nd, 2022

Advisors are speaking out after one of their own, David R. Nute, a Seattle-based advisor, received a revocation of his Certified Financial Planning...