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Financial Advisor IQ
1 小时
Merrill Stands to Gain from BofA’s Growing Footprint: CFO
That training pays off to the tune of about 9 million referrals exchanged yearly across BofA's lines of business, with about ...
Financial Advisor IQ
1 小时
UBS Chair Defends CEO's Pay Despite Backlash
UBS Group Chairman Colm Kelleher defended Chief Executive Officer Sergio Ermotti 's work, despite criticism of Ermotti's pay ...
Financial Advisor IQ
1 小时
Homrich Berg to Sell Minority Stake to PE Shop TPG
Atlanta-based wealth management firm Homrich Berg is getting an investment from private equity shop TPG, according to news ...
Financial Advisor IQ
3 天
GQG Ran Afoul of Whistleblower Protection Rules: SEC
This story originally ran on Financial Advisor IQ sister publication FundFire. The Securities and Exchange Commission has ...
Financial Advisor IQ
1 小时
Ex-Cetera Rep Reaped $5.3M in Cherry-Picking Scheme: SEC
The SEC claims that this trading yielded Carlton about $5.3 million in illicit first-day profits, both realized and unrealized, while costing his customers first-day losses of more than $6.4 million, ...
Financial Advisor IQ
5 天
SEC Commissioners Push Back on Texting Crackdown
The Securities and Exchange Commission continues to expand its crackdown on wealth and asset management industry workers' use ...
Financial Advisor IQ
3 天
Ex–EF Hutton CEO Countersues Former Business Partners
Former EF Hutton Chief Executive Officer Joseph Rallo, accused in a lawsuit by his former firm of "egregious corporate theft ...
Financial Advisor IQ
3 天
Investors Lean Harris, Business Owners Lean Trump: UBS
An overwhelming majority of both investors and business owners cite the economy as the top election issue, meanwhile, ...
Financial Advisor IQ
3 天
LPL Partners with Life Insurance Tech Provider
LPL Financial and Zinnia, a provider of life and annuity insurance technology, announced a partnership to enable LPL's ...
Financial Advisor IQ
5 天
Merrill, BofA Securities Fined $275K over Reps' Outdated Data
The Financial Industry Regulatory Authority has fined Merrill Lynch and its parent company Bank of America 's other ...
Financial Advisor IQ
3 天
RayJay Sexism Case Must Go to Arbitration, Not Court, Judge Says
Joena Bartolini Mitchell, who spent more than 15 years with the company as the vice president of administration and risk, ...
Financial Advisor IQ
4 天
Trump's $11T in Proposed Tax Cuts a Head-Scratcher for His Confidants
If re-elected president, Donald Trump plans to wrangle with Congress over trillions of dollars in proposed tax cuts, but the ...
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