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Convergent CEO David Zier's death followed inquiries into his management of an outside fund, according to Chairman Steve Lockshin.
October 27 -
Strong details and carefully executed plans make for a positive transition.
October 27
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The independent broker-dealer has added former LPL affiliate Nelson & Nelson Wealth Management of Camarillo, Calif.
October 27 -
But the asset allocation and rebalancing service will launch first for retail before rolling out to Schwab advisors.
October 27 -
Daniel Keating, a 35-year veteran of the municipal bond market and former Bear Stearns executive, joins insurer Build America Mutual as senior managing director for municipal bond markets starting Monday.
October 27 -
Fending off cyber intrusions is becoming a cost of doing business, but when advisors find that their practice has been breached, they need to follow a plan for assessing the damage.
October 26
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The reverse churning comes in when the client is in a wrap program, despite being a low-volume trader.
October 24 -
When it's time to give up control of your firm, will you know what to do?
October 24 -
Ex-LPL advisor Jeb Bashaw's new job falls through; trial lawyer says problems stemmed from private placement sales.
October 23 -
What questions are advisors not asking when buying a firm?
October 23
