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October 27, 2020

FBI Charges Missing FA with Mail Fraud, Asks Public’s Help to Find Him
The agency says Chris Burns, who disappeared in late September, may have stolen hundreds of thousands of dollars from his alleged victims.
Schwab to Slash 1,000 Jobs, Including at Newly Acquired TD Ameritrade
The company says it will provide reemployment assistance and severance to the employees being let go.
JPMorgan’s $1.5M Claim Against Reps Who Left for Raymond James Denied
The arbitrators also denied the registered representatives counterclaims, awarding no damages and ordering the parties to split the hearing session fees.
Most Advisors Expect Growth in Client Assets This Year: Schwab Survey
Differentiation and developing better client relationships are expected to be growth drivers.
Video
Advice for FAs Who Are Just Starting Out and Women of Color
Millu Ramirez, a financial planner at Urban Wealth Management, shares some tips.  Video [ 2:17 ]   Transcript  
JPMorgan Considering Plans to Double FA Count Over the Next 5 to 6 Years
The company plans to grow its advisor ranks through recruitment and expanding its training program, Kristin Lemkau, CEO of U.S. wealth management at JPMorgan Chase, tells Business Insider.
Finra Changes Sanction Guidelines to Protect Older Adults
The self-regulator’s adjudicators must now consider whether customers involved in disciplinary proceedings are 65 or over and have mental or physical impairments.
Schwab Adds 14 Model Portfolios to Riskalyze Platform
The move is aimed at expanding distribution of Schwab’s model portfolios to the more than 7,000 RIAs and institutions on the Riskalyze platform.
Fidelity Expands Access to Model Portfolios, Offers More Customization
Advisors will now be able to tap the portfolios through Wealthscape’s Modeling and Rebalancing tool and customize them with additional preferences.

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