UBS adviser managing $220 million moves to RBC
Wirehouse veteran Carol Wilshire will start a team in Manhattan Beach, California
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SEC orders advisory firm to pay $356,580 over fee disclosures
Signature Financial Services is the latest adviser to be caught in the regulator's 12b-1 fee dragnet
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ERISA lawsuit filed against Nvidia; suit against Cornell settled
Law firm Capozzi Adler filed its latest 401(k) suit and Schlichter Bogard & Denton reached a deal in a case against an Ivy League school
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Schwab custodial services, Fidelity models on Orion platform
Orion is also rolling out new marketing tools and automated proposal systems for its network of advisers
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Stocks fall, led again by big tech
Equities ignore the upbeat jobs report to focus on whether tech stocks have become overvalued
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SEC charges California fund owner with running Ponzi scheme
Steven Brown of Alpha Trade raised approximately $7.5 million from investors
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Jobless rate drops more than expected, to 8.4%
The labor market showed gains for fourth month in a row in August, with nonfarm payrolls growing by 1.37 million
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Reframing Social Security claiming decisions
Focusing on benefit size rather than claiming age can improve outcomes
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Court unseals criminal case against former rep Phillip Conley
The West Virginian is being charged with fraud in $5.2 million securities offering
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Smart-beta funds don’t live up to the backtesting
An academic study finds strategies that outperformed on paper disappoint once they're packaged as ETFs
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Inside JPMorgan’s strategy to hire hundreds of remote advisers
Since the onset of COVID-19, investors have become increasingly comfortable receiving advice through videoconference or phone calls
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COVID-19 leads some to say they will work in retirement: Survey
Most people have not stopped saving for retirement, but more are saying they will stay on the job past the traditional retirement age
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DOL advice proposal criticized by both sides at hearing
Fiduciary status test draws criticism for creating loopholes, casting net too widely
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Merrill team with $1.4 billion joins RBC
Boca Raton, Florida-based Glasband Stempel Wealth Management includes five advisers
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Why ROI is the wrong metric for guaranteed income
Comparing annuities to traditional assets and focusing on rates of return undermines the value they provide
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Tech shares post biggest decline since June
The Nasdaq 100 fell as much as 5.4% as Apple, Tesla and Amazon all sank
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Hybrid managing $200 million switches to LPL from Cadaret Grant
Murphy Financial Advisors in Amarillo, Texas, also affiliates with Happy State Bank
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Robinhood probed by SEC over payments from high-speed traders
Regulator said to be looking at whether the online broker properly informed clients that it sold their stock orders to Wall Street firms
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West Virginia securities official Lisa Hopkins to head NASAA
The new president plans to focus on SEC’s exempt offering framework, diversity and inclusion issues
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Just say no to annuities, one-third of RIAs say: Survey
More advisers are becoming open to the products, but many still don't like their costs, complexity and lack of liquidity
The post Just say no to annuities, one-third of RIAs say: Survey appeared first on InvestmentNews.
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