Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
DOL's New Fiduciary Guidance for Rollovers: What Advisors Should Know
By Robert Bloink | William H. ByrnesDetails are emerging that can help advisors understand their obligations under Labor's new standard.
May 18, 2021
Dynasty Launches First Crypto Options for Its AdvisorsThe firm has teamed with Eaglebrook Advisors to offer Bitcoin and other digital assets to its advisor network.
May 18, 2021
Seeking Names, Stories & Photos of Advisors Who Serve(d)The deadline for submissions of the required information and photos is 11 p.m. ET on Tuesday, May 25.
May 18, 2021
Ex-Raymond James Rep Who Stole From Elderly Clients Gets 5 Years in PrisonThe firm's former broker and executive pleaded guilty to defrauding two clients out of nearly $1 million.
May 17, 2021
Merrill Rolls Out Exclusive HNW Sports, Entertainment DesignationThe wirehouse partnered with the College for Financial Planning, which is offering the program just to Merrill advisors through May 2022.
May 17, 2021
Ex-Wells Fargo Rep Sentenced to 27 Months in PrisonThe firm's former broker had pleaded guilty to wire fraud in which he stole more than $450,000 from about 40 clients.
May 14, 2021
FINRA Bars Ex-Securities America Broker Who Signed Dead Client's NameThe former rep signed his deceased client's name on annuity surrender forms, according to FINRA.
May 14, 2021
'Wandering' Bad Brokers Pose Risks for Clients, IndustryAdvisors with regulatory infractions often keep causing trouble even if they're barred from the business, a recent study finds.