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LPL Financial push for employee model attempt to tap into $11 trillion market
At a time when broker-dealers are increasingly trying to come up with business models for advisers who want to act as ...
Retail derivatives that pay out in bitcoins approved by CFTC
Small U.S. retail investors will soon be able to buy derivatives that pay out with bitcoins. LedgerX, a U.S.-regulated ...
Finra fines, suspends ex-Merrill Lynch broker over loans from clients
The Financial Industry Regulatory Authority Inc. on Tuesday fined a former Merrill Lynch broker $12,500 and suspended him for ...
Advisers who pick stocks are hurting clients — and the value of their firms
If you're an adviser and you pick securities for your clients, you're not only wasting time and money, you're probably doing ...
Gucci settles 401(k) lawsuit for $1.2 million
Luxury fashion designer Gucci America Inc. has agreed to settle for $1.2 million a lawsuit alleging it mismanaged its 401(k) ...
Funding for Reg BI, other SEC advice reform efforts denied in Waters amendment
The House of Representatives is likely to approve this week legislation written by House Financial Services Committee ...
Advisers step up efforts to help clients manage student loan debt
While many of the Democrats running for president are proposing new ways to shift the cost of college onto taxpayers, some ...
Rising nursing home prices bode poorly for the future
The results of a six-year study by Georgetown University Medical Center revealed just how fast U.S. nursing home prices have ...
Fixed-income solutions for breakaways entering the RIA space
Wirehouse advisers are often sold the idea that the independent channel cannot support sophisticated investment solutions. So ...
5 important pieces of social media news
We're more than halfway to 2020, and while that in and of itself could be a fascinating topic for a different kind of column, ...
GPB paid B-Ds and reps steep commissions to sell troubled private placements
Broker-dealers and their reps who sold private placements for GPB Capital were paid tens of millions of dollars in ...
Asset managers hit by ever-rising costs as fees drop
Asset managers can add rising regulatory and technology costs to their list of woes as they struggle to expand revenue amid ...