Regulators accused Cambridge Investment Research of directing clients to mutual funds and other investments that generated revenue-sharing payments when cheaper options were available.
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Also this week, Captrust scoops up a $1.4 billion RIA, and Mercer Global adds a head of M&A.
March 7
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Ex-Oklahoma State University Cowboys player Brendon Evers says NCAA athletes need more guidance that reminds them to think about life after sports.
March 7
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As the four-day conference in Dallas wraps up, here is a look at some of the most important product launches, collaborations and expansions of services that debuted at the event.
March 7
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The dispute shows Edward Jones has become emboldened in taking legal actions against advisors perceived to have inflicted harm on its business interests by leaving for another firm, one industry recruiter said.
March 6
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In a warning alarm about the industry's staffing needs, McKinsey predicted there will soon be a massive shortage of advisors to meet client demand.
March 6
Financial Planning announces its 2025 class of the top 40 most productive employee wealth management brokers under age 40.
Financial Planning announces its 2025 class of the top 40 most productive employee brokers under age 40 at regional U.S. firms.
In an industry with too few advisors, many say the failure rate for newcomers remains disconcertingly high. But brokers on Financial Planning's top 40 under 40 list say they wouldn't be where they are without early career training.
Across the last five years of Financial Planning's 40 under 40 list, a few key insights have emerged about where the industry is at — and where it's headed.
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Experts say those survey results simply reflect successful and experienced teams, but the alphabet soup of certifications presents tough choices for current and aspiring professionals.
April 1
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Age, gender, and race can all play a role in how clients view relationships with their financial advisors, according to new research from the TIAA Institute and MIT AgeLab.
April 1
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Industry experts think LPL will have to work hard to retain Commonwealth advisors who were sold on the idea that they'd be working for a "boutique" firm.
March 31
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Experts say that while data ownership might at first be time-consuming and costly, the long-term benefits make it an extremely worthwhile investment.
March 31
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The U.S. stock market is about to conclude its worst quarter compared to the rest of the world since the 1980s.
March 31
