Ending a Three-Year Settlement Saga
By Staff WriterFidelity Investments has agreed to pay an $8 million penalty for accepting over $1.6 million in gifts and entertainment paid for by outside brokers.
March 01, 2008
A Fortified TD AmeritradeStrengthened in advisor numbers and assets under custody by completion of its acquisition of Fiserv ISS, TD Ameritrade opened its 2008 National Conference in Orlando...
March 01, 2008
Fast Growing RIAs Tied to Breakaway BrokersA new study commissioned by Fidelity Investments of the fastest growing RIA firms found that firms that grew their assets under management by more than...
February 25, 2008
New COO for Pershing Advisor SolutionsPershing Advisor Solutions (PAS) has named Karen Novak as COO.
February 22, 2008
New COO for Schwab Institutional; Expanded Duties for Sales ChiefSchwab Institutional has named Patricia Cox COO, the position last held by the current head of SI, Charles Goldman. Cox began her career with Schwab in 2000, and comes to Schwab's advisor division from its retail unit, Schwab Investor Services, where she has been in charge of client service and...
February 22, 2008
When the Regulators Come KnockingI've spoken with many advisors over the years. Some owned their own one-man advisory shop and others worked for a smaller firm. Whenever the subject...
February 08, 2008
TD Ameritrade Conference Opens in OrlandoStrengthened in advisor numbers and assets under custody by completion of its acquisition of Fiserv ISS, TD Ameritrade opened its 2008 National Conference in Orlando...
February 06, 2008
About That Software Article . . .In this blog, I'd like to follow up on an article I wrote for Investment Advisor magazine's January issue. In it, I discussed four different...