News Roundup (564)
SEC, FBI Warn of Fraudsters Posing as Brokers, Investment Advisers
- Tuesday, 27 July 2021
- News Roundup
- Written by PFA News
The FBI Criminal Investigative Division and the United States Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) warn of fraudsters swindling investors while pretending to be registered brokers or investment advisers.
Read more...Skybridge’s Scaramucci: Get Vax Or Get Out
- Tuesday, 27 July 2021
- News Roundup
- Written by PFA News
“If you don’t want to get vaccinated, leave” Anthony Scaramucci told his staff. The Skybridge founder and co-managing partner recently issued the ultimatum to his staff over the COVID-19 vaccine. So reports CNBC.
Read more...Wirehouses Struggle to Keep Advisors Satisfied: J.D. Power
- Wednesday, 14 July 2021
- News Roundup
- Written by PFA News
Despite the massive, industry-wide disruption caused by the COVID-19 pandemic, booming financial markets and significant gains in production have boosted overall financial advisor satisfaction in the J.D. Power 2021 U.S. Financial Advisor Satisfaction Study.
Read more...Merrill Facing More Discrimination Allegations by Black Ex-Reps
- Tuesday, 13 July 2021
- News Roundup
- Written by PFA News
Two ex-Merrill brokers claim in a lawsuit that Black FAs at the firm were given less compensation and received fewer promotions to senior positions than their white counterparts. The lawsuit also claims Black FAs were fired more often as well. So reports Think Advisor.
Read more...Wife Turns in LPL Advisor After Deadly Crash
- Tuesday, 13 July 2021
- News Roundup
- Written by PFA News
Timothy Hamano, 64, has been charged with vehicular manslaughter after his wife turned him in to the authorities. So reports Financial Advisor Magazine.
Read more...Ed Jones Settles with Advisor Who Quit, Locked Staff Out of Office
- Saturday, 12 June 2021
- News Roundup
- Written by PFA News
Edward Jones has reached a confidential settlement with Russell Ryon Riggan, one of its FAs who resigned abruptly after 15 years with the firm only to set up shop next door as a broker for Raymond James. The deal was reached on June 3. So reports Financial Advisor IQ.
Read more...Client Associate Suing Amerprise Over FA Harassment, Demotion
- Saturday, 12 June 2021
- News Roundup
- Written by PFA News
Stephanie Henninger, a former registered client associate for Ameriprise, says she was sexually harassed by two of the firm’s FAs. So reports Financial Planning.
Read more...FA Charged with Defrauding Elderly Clients, Stealing Retirement Assets
- Saturday, 12 June 2021
- News Roundup
- Written by PFA News
A financial advisor from Middleboro, Massachusetts was arrested and charged for defrauding elderly clients and stealing retirement assets.
Read more...Merrill, CFFP Launch Advisor Designation for HNW Sports, Entertainment
- Friday, 28 May 2021
- News Roundup
- Written by PFA News
Many athletes and celebrities have often fallen victim to corrupt advisors in recent years. Now, Merrill Lynch Wealth Management and the College for Financial Planning have launched the Sports & Entertainment Accredited Wealth Management Advisor program. So reports Think Advisor.
Read more...Merrill, Wells Welcoming More Employees Back to the Office
- Friday, 28 May 2021
- News Roundup
- Written by PFA News
Advisors are beginning to return to the offices in greater numbers.
Merrill Lynch Wealth Management, for its part, is reopening offices to at least 10% of employees. It expects far more than that 10% will be going into their offices in the coming weeks. So reports Advisor Hub.
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