Features

Topic

Redtail CRM data breach exposes personal client data

The information exposed includes names, addresses, dates of birth and Social Security numbers.

Topic

Couple in Morgan Stanley advisory account wins $519,000 arb case over unsuitable investments

Plaintiff's lawyer says junk bonds, futures contracts and derivatives were inappropriate for his clients.

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Finra makes its list to target hundreds of rogue individuals

The regulator sees patterns in the behavior and disclosures of high-risk brokers.

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Goldman Sachs acquires United Capital

After a payday of $75 million or more, CEO Joe Duran plans to join Goldman in a senior position.

Topic

Finra rogue broker rule would affect 61 firms

Additional obligations would be imposed on these firms such as requiring them to create reserve accounts to pay unpaid arbitration awards.

Topic

Capital Group, bastion of active management, rebounds to $1.9 trillion

American Funds sponsor still faces uncertain future as investors flock to low-cost, passive investing.

Topic

Cross-selling poised to be next 401(k) ‘battleground’ issue

Advisers selling wealth management or financial wellness services should be careful, according to experts.

Topic

Innovate or else: Advisers must leave the comfort zone before it’s too late

A roundtable of top advisers discusses what it will take to innovate in an industry that likes to maintain the status quo.

Topic

Goldman Sachs said to be near deal to buy United Capital

Goldman is paying $750 million for the RIA aggregator, according to one source.

Topic

Finra arbitrators award Stanford victims $1.4 million, rule against Pershing

Claimants alleged custodian aided and abetted Ponzi scheme.

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