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'Not in any other industry': Hot topics at Morningstar
Experts grappled with the industry's biggest disruptors at the investment information giant's annual conference.
Janney maintaining active recruiting pace in Q2
The regional BD adds two teams with $373 million in assets.
Warning for advisors: Retirement and account fraud rising
Firms need to consider new "fraud mitigation strategies," according to a new study.
The keeper of your trading data is ... Amazon?
FINRA, Morningstar and Nasdaq have already migrated to the cloud. Should RIAs follow?
Fierce opposition greets states’ fiduciary proposals
Advisors and trade groups resist a patchwork of regulations, saying it would limit consumer choice and increase firms’ expenses.
Apple’s new credit card keeps advisors guessing
The question may not be if tech giants will become a force in wealth management — but what can possibly stop them?
Regulatory actions and programs
SEC: Merrill to pay $8M over alleged improper handling of ADRs
The regulator also faulted Merrill’s supervisory policies and procedures.
Attack of the Twitter trolls? Many advisors slammed by social media blowback
Harassment, belittling, defamation and crass comments plague advisors in the online public eye.
Vanguard to launch its first active ESG fund: Fund Scan
The new product is expected to be the lowest-cost in the category.
$190M Wells Fargo advisor moves to Raymond James
Elena Milianta joined the firm’s Alex. Brown division, which caters to wealthy clients.