News Roundup (677)
Banks Report Drop in Insurance Brokerage Income
- Sunday, 01 December 2013
- News Roundup
- Written by PFA News
Income from insurance brokerage operations at banks declined 13.2% during the first half of 2013 on a year-over-year basis. So reports Financial Planning.
Read more...Two Advisors Nailed for Offshore Scam
- Sunday, 01 December 2013
- News Roundup
- Written by PFA News
Tampa, Fla. area advisors Larry C. Grossman and Gregory J. Adams generated $4.3 million from recommending risky offshore funds that had red flags, according to an enforcement action from the Securities and Exchange Commission. So reports Courthouse News Service.
Read more...Broker in Bribery Case Gets Three Years of Probation
- Friday, 15 November 2013
- News Roundup
- Written by PFA News
Nicholas DelBrocco, 49, of North Kingston, R.I and formerly of Cleveland, Ohio, has been sentenced to three years of probation over charges that he bribed union officials to get work as a financial advisor. So reports Cleveland.com.
Read more...Wells Fargo Nudging Advisors Away from Stock Picking
- Friday, 15 November 2013
- News Roundup
- Written by PFA News
Wells Fargo & Co. is encouraging its advisors to put retail clients’ assets in managed accounts rather than focus on picking stocks, a change being ushered in by Mary Mack, the firm’s new brokerage chief. So reports Bloomberg.
Read more...- Small business
- National Federation of Independent Business
- Business
- NFIB
- Magazines and E-zines
- Insurance
- United States
- Federation of Small Businesses
- Small business
- National Federation of Independent Business
- Business
- NFIB
- Magazines and E-zines
- Insurance
- United States
- Federation of Small Businesses
- wells fargo
- mary mack
- managed accounts
Edward Jones Partners with World War I Museum
- Saturday, 09 November 2013
- News Roundup
- Written by PLP News
Edward Jones has awarded the National World War I Museum in Kansas City a $150,000 grant. So reports the Kansas City Business Journal.
Read more...Morgan Stanley, BoA Call for Recruiting Truce
- Friday, 01 November 2013
- News Roundup
- Written by PFA News
Morgan Stanley and Bank of America appear to be easing off on using big bonuses to recruit brokers from each other and to retain existing talent. So reports Bloomberg.
Read more...Bill Gross Calls for Higher Taxes on Richest 1%
- Friday, 01 November 2013
- News Roundup
- Written by PFA News
Add Bill Gross to the Warren Buffett club.
Read more...Study IDs Groups with Highest Satisfaction with Advisors
- Friday, 01 November 2013
- News Roundup
- Written by PFA News
A study by Adelaide University has concluded that the highest levels of client satisfaction with financial advisors are with investors ages 30 to 40 and with high net worth investors who are 60 years old or older. So reports Money Management.
Read more...Beware of Self-Directed Brokerage Scams
- Friday, 25 October 2013
- News Roundup
- Written by PFA News
The North American Securities Administrators Association is warning investors to watch out for scams in retirement self-directed accounts. So reports MarketWatch.
Read more...Judge Revokes Bail for Advisor Who Conned Broadway Producers
- Friday, 25 October 2013
- News Roundup
- Written by PFA News
A $3 million bail arrangement for former advisor Mark Hotten, who has pled guilty to conning the producers of failed Broadway show “Rebecca,” has been revoked after the disgraced stock broker violated the terms of his release while waiting sentencing. So reports 680 News.
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