News

Judge knocks down JPMorgan’s ‘almost laughable’ argument in win for Ameriprise advisor

Pressing the bank for examples of non-solicitation violations, the judge cut off JPMorgan’s attorney: “you are dancing all around my question.”

Judge knocks down JPMorgan’s ‘almost laughable’ argument in win for Ameriprise advisor

Pressing the bank for examples of non-solicitation violations, the judge cut off JPMorgan’s attorney: “you are dancing all around my question.”

$400M Merrill Lynch team latest to go indie

The group includes an advisor who started his career at Merrill in 1977.

$400M Merrill Lynch team latest to go indie

The group includes an advisor who started his career at Merrill in 1977.

$400M Merrill Lynch team latest to go indie

The group includes an advisor who started his career at Merrill in 1977.

ESG Proponents Weigh Impact of Increased Regulatory Scrutiny

Recent moves by the Department of Labor and SEC are causing ESG advocates to question what impact, if any, the scrutiny will have on its accelerated growth.

ESG Proponents Weigh Impact of Increased Regulatory Scrutiny

Recent moves by the Department of Labor and SEC are causing ESG advocates to question what impact, if any, the scrutiny will have on its accelerated growth.

ESG Proponents Weigh Impact of Increased Regulatory Scrutiny

Recent moves by the Department of Labor and SEC are causing ESG advocates to question what impact, if any, the scrutiny will have on its accelerated growth.

ESG Proponents Weigh Impact of Increased Regulatory Scrutiny

Recent moves by the Department of Labor and SEC are causing ESG advocates to question what impact, if any, the scrutiny will have on its accelerated growth.

ESG Proponents Weigh Impact of Increased Regulatory Scrutiny

Recent moves by the Department of Labor and SEC are causing ESG advocates to question what impact, if any, the scrutiny will have on its accelerated growth.

SEC charges California RIA with stealing more than $2.2 million

The money went to pay adviser Mark Boucher’s credit card bills, the agency alleges

The post SEC charges California RIA with stealing more than $2.2 million appeared first on InvestmentNews.

SEC charges California RIA with stealing more than $2.2 million

The money went to pay adviser Mark Boucher’s credit card bills, the agency alleges

The post SEC charges California RIA with stealing more than $2.2 million appeared first on InvestmentNews.

Mutual funds with the biggest 10-year returns

More than half of these funds have fees higher than 75 basis points.

Mutual funds with the biggest 10-year returns

More than half of these funds have fees higher than 75 basis points.

Mutual funds with the biggest 10-year returns

More than half of these funds have fees higher than 75 basis points.

Extending Wells Fargo poaching streak, Stifel lands $327M team

This follows another August acquisition — an ex-UBS team that managed $1 billion in assets.

Some lawyers warming up to virtual Finra arbitration hearings

New statistics from regulator show slow pick-up, but concerns remain over use of Zoom

The post Some lawyers warming up to virtual Finra arbitration hearings appeared first on InvestmentNews.

Clients are tapping HSAs amid COVID-19

The accounts are frequently being used to cover pandemic-related expenses, and employers are increasingly playing up their benefits to workers

The post Clients are tapping HSAs amid COVID-19 appeared first on InvestmentNews.

Investing after the ‘great reset’

Kara Murphy of Goldman suggests reviewing risk tolerance and focusing on traditional asset classes

The post Investing after the ‘great reset’ appeared first on InvestmentNews.

Waddell & Reed's New Exec Aims To Reshape Firm's Tech

Waddell & Reed isn't synonymous with technology, but Eric Meltzer plans to change that.