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          • (left to right) Brian Beraha, Alexis Audisio, Jared Pillar, Michelle Gonzalez, Horacio Aguirre and Vicente Del Rio moved to UBS's private wealth business in Miami from J.P. Morgan's private bank.UBS Nabs $11-Mln J.P. Morgan Private Bank Team in Florida, Another in Ohio
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          • (left to right) Brian Beraha, Alexis Audisio, Jared Pillar, Michelle Gonzalez, Horacio Aguirre and Vicente Del Rio moved to UBS's private wealth business in Miami from J.P. Morgan's private bank.UBS Nabs $11-Mln J.P. Morgan Private Bank Team in Florida, Another in Ohio
          • Doris Neyra, Melissa Van Putten-Henderson and Gina Jamurath moved to UBS's private wealth business in Miami from Wells Fargo's private bank.UBS Lands $14-Mln Team from Wells Private Bank in Miami
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SEC

The latest headlines in wealth management.

SEC
3/3/21 | News | FINRA, SEC

Biden SEC Doubles Down on Operational Resiliency amid Catastrophes

Firms Diverge in Disclosing Signing Bonus Conflicts in New Disclosures

6/30/20 | News | 4 Comments

The short “relationship summaries” customers are receiving to comply with the Regulation Best Interest complex of rules that become effective today vary in mentioning whether brokers receive bonuses for moving assets from their former firms.

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SEC
Independent broker-dealer denies failing to disclose to customers conflicts from funds and share classes that fueled $136 million in fees from National Financial Services.

SEC Sues Commonwealth over Revenue-Sharing from Fidelity Unit

8/1/19 | News

Independent broker-dealer denies failing to disclose to customers conflicts from funds and share classes that fueled $136 million in fees from National Financial Services.

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SEC
SEC Bars Ex-UBS Broker in Ohio for Muni Allocation Fraud

SEC Bars Ex-UBS Broker in Ohio for Muni Allocation Fraud

12/18/18 | Enforcement

For helping unregistered brokers pose as retail customers to get new-issue bonds they flipped, Chris Rosenthal will pay $374,000 and accept industry bar.

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SEC
Bonuses for Growing Assets ‘OK’ Under Reg BI–SEC’s Clayton

Bonuses for Growing Assets ‘OK’ Under Reg BI–SEC’s Clayton

12/11/18 | News

Asset growth awards are likely acceptable under forthcoming customer-care rules, SEC chairman tells Senate committee, even as he repeats his opposition to “high pressure, product-specific” sales contests.

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Fiduciary, SEC
Industry Leader Swings Against State Fiduciary Proposals

Industry Leader Swings Against State Fiduciary Proposals

12/6/18 | News

New Jersey, Nevada and other states trying to raise customer-care standards for brokers should back off in favor of the SEC’s soon-to-be proposed rule package, said Sifma head Ken Bentsen.

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Fiduciary, SEC
SEC Official Warns Passive Funds May Pose Threat to Investors

SEC Official Warns Passive Funds May Pose Threat to Investors

12/6/18 | Markets

Passive mutual funds often leave investors in the dark on corporate-governance issues, threatening their ability to gain information on proxy voting decisions, a top U.S. regulatory official said.

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SEC
SEC Back-Pats Its Share-Class Disclosure Initiative

SEC Back-Pats Its Share-Class Disclosure Initiative

11/14/18 | News

Scores of broker-dealers reported fund-sale violations in hopes of receiving cooperation credit, and more such programs may be offered, enforcement boss says.

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SEC
SEC Enforcement Actions Rise, with Focus on Main Street Investors

SEC Enforcement Actions Rise, with Focus on Main Street Investors

11/2/18 | News

Regulator says actions against investment advisors are up 31.7% in fiscal 2018 from 2017.

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SEC
Trump Push for Fewer Company Profit Reports Tempered by SEC

Trump Push for Fewer Company Profit Reports Tempered by SEC

10/12/18 | News

Securities and Exchange Commission Chairman Jay Clayton just tapped the brakes on President Donald Trump’s push to let U.S. companies report earnings less frequently.

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SEC
Credit Suisse to Pay $10 Million for Mishandling Retail Trades

Credit Suisse to Pay $10 Million for Mishandling Retail Trades

9/28/18 | News

The firm’s now-closed retail execution business improperly routed broker-dealer customers including Edward Jones and Raymond James in a way that in some cases resulted in worse pricing.

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Credit Suisse, SEC
SEC Fines Wisconsin RIA for Failing to Disclose Fee Conflicts

SEC Fines Wisconsin RIA for Failing to Disclose Fee Conflicts

9/14/18 | Enforcement

Hybrid broker and advisory firm that manages $1.5 billion agreed to pay $242,000 for putting advisory clients into 12b-1 share classes and for steering them to a custodian that was paying the firm for the referrals.

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RIA, SEC
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CORONACRASH NEWS

  • Stifel Bumps CEO Pay 15% to $11.5 Million

    Stifel Bumps CEO Pay 15% to $11.5 Million

    Apr 20, 2021
  • Fed to End Covid-19 Capital Break It Gave Wall Street Banks

    Fed to End Covid-19 Capital Break It Gave Wall Street Banks

    Mar 19, 2021
  • Credit Suisse Replaces U.S. Exec, Halts Bonuses as Clients Fume

    Credit Suisse Replaces U.S. Exec, Halts Bonuses as Clients Fume

    Mar 18, 2021
  • Firing of Billion-Dollar Broker Sends Warning on Work-from-Home Compliance

    Firing of Billion-Dollar Broker Sends Warning on Work-from-Home Compliance

    Mar 12, 2021
  • Big U.S. Banks’ Vows to Halt Job Cuts End as Virus Endures

    Big U.S. Banks’ Vows to Halt Job Cuts End as Virus Endures

    Feb 26, 2021

NEWS

  • UBS Nabs $11-Mln J.P. Morgan Private Bank Team in Florida, Another in Ohio

    UBS Nabs $11-Mln J.P. Morgan Private Bank Team in Florida, Another in Ohio

    Apr 21, 2021
  • Wirehouses: Just Say No to Disclosing Broker Headcounts

    Wirehouses: Just Say No to Disclosing Broker Headcounts

    Apr 21, 2021
  • 47-Year Industry Veteran Targets Wells with Age-Bias Claim

    47-Year Industry Veteran Targets Wells with Age-Bias Claim

    Apr 21, 2021
  • Stifel Bumps CEO Pay 15% to $11.5 Million

    Stifel Bumps CEO Pay 15% to $11.5 Million

    Apr 20, 2021
  • BofA Open to “Rethink” of Crypto Investing Ban: CEO

    BofA Open to “Rethink” of Crypto Investing Ban: CEO

    Apr 20, 2021

Recruiting Winners: 2020 Year in Review

FINANCIAL INDUSTRY PODCASTS

AllIndependence
The must listen-to podcast for financial advisors by Tony Sirianni. Guests to include:
-Ron Kruszewski
-Shirl Penney
-Penny Pennington
-Eric Clarke
and many more
Incisive conversations focused on helping investors navigate the ever-changing global market landscape
Michael Kitces and Carl Richards discuss financial advising topics.
The “new advice value stack,” and how firms can use it to help maximize their own value propositions for their clients.
Interviews and insights for advisors curious about switching to a new broker dealer.
The Brighthouse Financial Insights Panel is a group of leading, independent experts providing powerful insights into the big challenges facing you and your clients.
Powering Independence Podcast, insights and ideas for RIAs, presented by Dynasty Financial Partners. A podcast dedicated to presenting fresh ideas and best practices for the wealth management industry.
As an industry expert, Frank LaRosa provides guidance and advice on a host of topics from recruiting and transitions, succession planning, practice management, M&A and more.
Our goal is to unlock the challenges to reveal the opportunities and what it means to provide advice in the 21st century.
Go behind the scenes with registered investment advisors and other related independent business model experts
As a nationally recognized recruiter and consultant to financial advisors, Mindy Diamond has unmatched experience in introducing advisors to the independent space.
The must listen-to podcast for investors, venture capitalists and financial advisors, with Tony Sirianni and Paul Dietrich.
An Introduction to Independence: 5 Key Episodes to Jumpstart Your Knowledgebase
Jay is an investment strategist, CERTIFIED FINANCIAL PLANNER™ and business consultant to financial advisors.
We interview top financial advisors and visionary voices to bring you the strategies, tips, and tools you need to make a difference in people’s lives.
A financial literacy and commentary show that features a number of investors, financial experts, professional athletes, business owners and more.
Join Sound Financial Group CEO Paul Adams and President Cory Shepherd every week, as they help you Design and Build a Good Life™.
The Kuderna Podcast, focusing on wealth in it's original meaning- a state of well being.
Timeless wisdom, actionable information you can use right now to make smarter investment decisions.
Made for and dedicated to those folks serious about their financial plan.
Suzanne Siracuse asks the questions nobody else asks, as influencers and interviewer collide in her new and truly unique podcast series The Big Reveal.
Our webcast is dedicated to helping our viewers get real insights by avoiding the cognitive dissonance of today’s media outlets and biased editorial filters.

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