January 22, 2021
Broker Who’s a Registered Sex Offender Charged with Child Sexual Assault
Gregory Estes is facing one count of indecent assault and four counts of sexual assault of a child.
More Than Half of FAs Surveyed Plan to Be Back in Offices by March
Meanwhile, around 13% of advisors surveyed by Incapital think they won’t be returning to their offices this year.
Wells FAs Exiting Due to International Biz Closure Face Job-Hunting Challenges
Some only recently moved to the wirehouse and received large upfront loans, while others have significant amounts of deferred compensation, according to one recruiter.
JPMorgan Kept CEO’s Pay Flat at $31.5M in 2020
Jamie Dimon earned a base salary of $1.5 million and a performance bonus of $30 million.
Biden’s SEC to Zero In on Broker-Dealers, RIAs: Law Firm
The law firm Gibson Dunn believes that if Gary Gensler is confirmed as SEC chair, the regulator will also bring heightened interest to digital currencies.
Executive Order to Review DOL’s ESG Rule Expected in Biden’s Early Days
The executive order may shift the focus from Erisa fiduciary issues to environmental protection, a lawyer tells FA-IQ sister publication Ignites.
2H 2020 Surge Drives RIA Deals to New Record: DeVoe
The industry saw 159 deals last year — 92 of them in the last six months, according to the company.
OneDigital Acquires Vertical Financial Group
The addition will bring $1 billion in retirement plan assets and more than 400 households with over $160 million in assets.