Registration Required To View More Than 3 Article(s) in 1 Day(s).

Already registered?

Register for a free subscription to Financial Advisor IQ, a Financial Times service, written specifically for Financial Advisors. (All fields are required.)

  • There's no cost
  • Your information will not be shared without your consent
  • You get full access along with a daily news alert

CE Credentials
You can now earn continuing education credits by reading selected content on FAIQ's ThinkTank. Enter your credentials below to start earning credits.

Already a Financial Advisor IQ Reader?

Log in

May 25, 2021

Ed Jones: FA Bolted for RayJay, Locked Us Out of Our Office
U.S. District Judge James Wesley Hendrix partially granted yesterday the temporary restraining order request filed by Edward Jones against Russell Ryon Riggan.
Merrill Chops FA Training Period in Half, Pulls in BofA Staffers
Each trainee is expected to graduate with roughly $15 million in client assets and a base of roughly 20 to 30 clients.
Ex-Broker Gets 5+ Years in Prison for Defrauding 27 Victims, Including His Parents
Edward Matthes pleaded guilty in November 2020 to three counts of wire fraud and was facing up to 20 years in prison and a fine of up to $250,000 for each of the counts.
Diversity Efforts Should Be Part of CEO, Senior Management Comp: Finra Chair
Firms should also increase their reporting on diversity and inclusion, according to the Financial Industry Regulatory Authority chair.
Video
Memorable Branding Helps Make FAs Irreplaceable: Commonwealth Exec
Sarah Howes, director of marketing at Commonwealth Financial Network, says emotions are involved when clients choose their advisors.  Video [ 1:09 ]   Transcript  
Finra to Start Raising Fees as Soon as Next Year
The self-regulator says it will continue drawing down its reserves to fund budget deficits but will start increasing regulatory fees gradually between 2022 and 2024.
Raymond James to Roll Out New Presentation Tool for FAs
The new offering is aimed at helping advisors share customized recommendations with clients and prospects.
Time is Running Out: Get Your $5 Amazon Gift Card Now
Make your voice heard in our 2021 Financial Advisor IQ Service Awards.

Topics