Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
SEC Accuses Advisor of Running $110M Ponzi Scheme
By Jeff BermanThe Marietta, Georgia, advisor was named in a complaint by the SEC, along with two entities he controls.
August 24, 2021
JPMorgan Settles With Advisors Who Jumped to LPL-Affiliated FirmThe temporary restraining order that J.P. Morgan Securities had obtained against the breakaway advisors has been lifted.
August 24, 2021
FINRA Fines Ex-Raymond James Rep Who Impersonated ClientThe rep, now with Ameriprise, allegedly pretended to be his client on a phone call with an annuity company, FINRA says.
August 24, 2021
How to Help Clients Draw Down Retirement Assets: Advisors' AdviceAdvisors tell us how they handle the transition into the decumulation phase of the client relationship.
August 24, 2021
LUMINARIES Class of 2021: Thought Leadership — Programs, Products & ServicesIn the Thought Leadership & Education category, we honor the organizational efforts driving the financial services industry forward.
August 24, 2021
Meet the Winners: LUMINARIES in Thought Leadership, 2021 — PeopleMeet the individuals being honored for thought leadership that is driving the financial industry forward.
August 23, 2021
LPL Exec Burt White to RetireWhite joined LPL in 2007 and is its managing director, Investor and Investment Solutions, and chief investment officer.
August 23, 2021
Envestnet Enhances Recommendations Engine for AdvisorsThe engine includes a data connection with Fiduciary Exchange to provide annuity insights.