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Racial Bias

Prudential fires broker accused of making racist comments in California restaurant

A Korean-American entrepreneur claims James Hilbrant told her to “go back to Wuhan.”

By Ryan W. Neal

September 25
Enforcement

State regulators spell out Reg BI priorities amid enforcement surge

Actions hit a nine-year high and restitution climbed to the highest total since 2013 — even before the rule’s heightened scrutiny.

By Tobias Salinger

September 25
Going independent

‘Devil’s in the details’: How advisors pick a custodian

It’s a big decision, and getting it right the first time around can avoid a lot of headaches, experts say.

By Jessica Mathews

September 25
Data sharing

Wells Fargo says it has nearly eliminated screen-scraping threat

The company's new agreement with Envestnet Yodlee to share customers' account data over secure pipes is its 17th pact with aggregators and other fintech firms.

By Penny Crosman

September 25
Employment data

Pay cuts become permanent for many Americans during pandemic

More than 40% of Black and Hispanic adults say they have used money from a savings or retirement account to pay their bills since the outbreak began, a survey finds.

By Jordan Yadoo

September 25
Private equity

Can private equity narrow clients’ retirement savings gap?

The Labor Department has opened the door to using PE as a component of a target date fund held within a DC plan, writes iCapital Network CEO Lawrence Calcano.

By Lawrence Calcano

September 25
Election 2020

Advisors back Trump as better for wealth management, America

A majority of wealth managers worry about non-business concerns such as the national debt, immigration, civil unrest and media bias, according to a new survey.

By Andrew Welsch

September 25
Diversity and equality

Voices: Don’t blame the pipeline for your white male workforce

As Wells Fargo CEO Charles Scharf himself admitted, it’s an excuse — and a weak one.

By Sarah Green Carmichael

September 25
Active management

Voices: Active managers are suffering a perilous pandemic

In the first half of the year, fewer than a third of U.S. domestic equity fund managers delivered annualized returns that outpaced the S&P Composite 1500.

By Mark Gilbert

September 25
FINRA

FINRA weighs scaling back in-person portion of cycle exams: CEO

Based on the “forced experiment” of its remote periodic examinations of broker-dealers, the onsite portion “may not be necessary,” Robert Cook said.

By Jessica Mathews

September 24

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