News Roundup

News Roundup (582)

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LPL Smacked By SEC to the Tune of $4.8M Over AML Rules

LPL Financial settled SEC charges that it violated anti-money laundering rules related to an unregistered investment adviser. So reports Investment News.

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Wells Fargo Delays Return to the Office Again—Until 2022

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.

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Raymond James to Keep Broker Comp the Same for 2022  

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.

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Wells Fargo Pushes Back Office Return Again  

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.

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Fidelity's Latest Hiring Push to Add 9,000 Workers

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.

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FA Who Abruptly Quit Ed Jones, Explains Why He Joined Raymond James

More details have emerged about Russell Ryon Riggan’s contentious departure from Edward Jones. So reports Financial Advisor.

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