News Roundup (582)
LPL Smacked By SEC to the Tune of $4.8M Over AML Rules
- Saturday, 02 October 2021
- News Roundup
- Written by PFA News
LPL Financial settled SEC charges that it violated anti-money laundering rules related to an unregistered investment adviser. So reports Investment News.
Read more...Wells Fargo Delays Return to the Office Again—Until 2022
- Saturday, 02 October 2021
- News Roundup
- Written by PFA News
After pushing back its return to the office multiple times already this year, Wells Fargo told employees in late September that most employees won’t be coming back until 2022. So reports The Des Moines Register.
Read more...Raymond James to Keep Broker Comp the Same for 2022
- Saturday, 18 September 2021
- News Roundup
- Written by PFA News
Raymond James will keep compensation the same in 2022 for the approximately 3,400 brokers it oversees, according to two sources. So reports Advisor Hub.
Read more...Wells Fargo Pushes Back Office Return Again
- Saturday, 18 September 2021
- News Roundup
- Written by PFA News
The delta variant has already caused Wells Fargo to push back its return to the office at least once, from Sept. 6 to Oct. 18. Now, the firm is pushing the date back again to Nov. 1. So reports Yahoo! Finance.
Read more...Fidelity's Latest Hiring Push to Add 9,000 Workers
- Saturday, 04 September 2021
- News Roundup
- Written by PFA News
Fidelity Investments plans to hire 9,000 new workers by the end of the year, the majority of the roles focused on technology and client interactions. So reports Bloomberg.
Read more...FA Who Abruptly Quit Ed Jones, Explains Why He Joined Raymond James
- Saturday, 04 September 2021
- News Roundup
- Written by PFA News
More details have emerged about Russell Ryon Riggan’s contentious departure from Edward Jones. So reports Financial Advisor.
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