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To sway a federal judge, both sides have tried to bolster their arguments by pointing to Facebook, joint production agreements, news articles and more.
November 7
- To win over advisors, don't force tech changes: Q&A with In|Vest speaker, HD Vest's Crystal Clifford
Despite the IBD converting much of its technology, HD Vest's COO says the process has been less painful because its planners are supportive of the changes.
November 7
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Independent Neal Simon was overwhelmed by a popular Democratic incumbent.
November 7
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CEO Jamie Price and other executives met with some 1,000 prospective advisors after inking one of the largest M&A deals in the IBD space this year.
November 6
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Investigators say the barred rep diverted more than $1.8 million of her clients’ money for personal use, including on vacations and houses.
November 6
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People are innately drawn to be a part of something special.
November 6
Snowden Lane Partners -
A $6 billion RIA deal may signal a reversal of lackluster market activity.
November 5
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The regional BD’s newest hires oversaw $230 million in client assets.
November 5
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Owners in transition should make a clean break to avoid confusion, says consultant David DeVoe and former Aspiriant CEO Tim Kochis.
November 5
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Being a fiduciary isn’t enough anymore, says BlackRock’s Hollie Fagan. At the same time, firms are losing specialized talent to retirement. Here’s the best way for them to stay relevant and profitable.
November 5
