Celebrity Estates: Chadwick Boseman and Planning for Clients with a Diagnosis

Oct 05, 2020

Actor Chadwick Boseman, best known for portraying Black heroes, kept his cancer diagnosis a secret from many. That underlines the need for advisors to urge clients to have all their estate-planning documents in order.

Advisors with $678 Million in Assets Joining Raymond James Division

Oct 02, 2020

The four advisors are joining Pinnacle Financial Partners, which is affiliated with the large broker/dealer, and will serve clients in states that include Virginia, Georgia and the Carolinas.

Merrill Lynch Creates New Unit to Recruit More Advisors From Bank of America

Sep 30, 2020

Bank of America Merrill Lynch has created a new Advisory Division under executive Eric Schimpf.

Advocates Weigh Fiduciary Advice's Future Post-Election

Sep 30, 2020

Panelists in a discussion during an awards presentation for Prof. Ronald Rhoades discussed Reg BI's future under a Trump or a Biden administration, as well as whether FINRA should be disbanded.

Shirl Penney Hires Former Smith Barney Colleague as Dynasty's Head of Strategic Development

Sep 30, 2020

Joseph D’Agostino joins Dynasty from WestEnd Advisors, an institutional asset manager.

Goldman Shakes Up Units in Fresh Push to Win Over Investors

Sep 29, 2020

Goldman Sachs has created a new consumer and wealth management division co-led by Stephanie Cohen.

Swedish National Faces SEC Charges for Defrauding Investors

Sep 29, 2020

Roger Nils-Jonas Karlsson was extradited to the United States from Thailand last year by the Department of Justice and is accused of targeting thousands of investors with a phony investment offering.

Envestnet Adds Another CIO

Sep 29, 2020

Envestnet | PMC, Envestnet's “advisor to the advisor," is adding Dana D'Auria to the leadership group.

Former NFL Player Joins LPL Financial

Sep 29, 2020

The Hendrix Group, run by Brad Hendrix Sr., a former NFL offensive lineman, joins the broker-dealer and corporate RIA platforms at LPL Financial.

Faux Advisor Who Fled to Bali Must Pay Penalty for Duping U.S. Investors

Sep 28, 2020

The SEC obtained a final judgment against Marcus Beam, who had set up shop as a Bali-based pornographer after being charged with investment fraud in the U.S.