Articles tagged "MarketCounsel"
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Mike Durbin speech spellbinds; David Kowach prompts head-scratching and Brian Hamburger-Dale Brown showdown has one tense moment at Market Counsel Summit
The Fidelity exec shows forward thinking; the Wells Fargo exec talks branded RIAs and the cage match ... not so much
December 8, 2018 at 5:06 AM
Brian Hamburger convinces his FSI nemesis to debate him in Las Vegas, after trips to San Francisco and Washington
The pressure to create fireworks for a big, bright line-up of 'faculty' and attendees meant finding common cause with Dale Brown based on their lack common ground about how advisors should be regulated
November 17, 2018 at 12:22 AM
Yet another Goldman Sachs advisor breaks away, risks its legal ire and stands wordlessly by for three months to become an RIA
Gary Hirschberg oversaw $1.4 billion and teamed up with Mindy Daimond and Shirl Penney to join a growing army of people beating a path away from the platinum-brand investment bank
October 2, 2018 at 5:40 AM
Schwab Advisor Services's 'very tight ship' sprung leak that may signal a flood of SEC actions against custodians, leading to potential crack down on RIAs
The $1.6-trillion RIA custodian in San Francisco settles SEC lawsuit in a day by paying a $2.8 million fine in a case meant to be a 'shot across the bow' of custodians and RIAs, say analysts
August 3, 2018 at 12:24 AM
LPL issues urgent warning to RIAs: The SEC wolf blew down its home-office door and is combing through records for evidence of mutual fund share class misuse
Andy Kalbaugh emailed a letter to LPL advisors that file their own ADVs as a sort of fair-warning heads up
July 25, 2018 at 10:37 PM
Purchase of RIA in a Box with reclaimed Barnaby Grist as overseer shows ambition of New York buyer to create compliance 'robo-advisor'
Fresh off big AssetMark score, Aquiline's money talks, saying RIAs must spend big to comply but would like to spend smaller
June 1, 2018 at 3:01 PM
What to make of a $239M-AUM RIA dwindling to $191M then suing Schwab for $100M as the alleged cause of the asset hemorrhage
Ed Butowsky says the San Francisco-based custodian played politics illegally by using a beltway scandal involving murder, WikiLeaks and collusion as a smokescreen to steal his clients
May 2, 2018 at 9:06 PM
Morgan Stanley mega-producer's fate in Oregon may become #MeToo movement litmus test on Wall Street after New York Times report
The charges against Douglas Greenberg of egregious and unlawful behavior aren't compliance- or even MS-employee related, making them 'gray area' infractions, says a source
April 2, 2018 at 6:30 PM
After Orion user conference, CEO Eric Clarke greenlights new software layer -- spearheaded by his general counsel
RIAs told horror stories to the Omaha software firm in Phoenix about SEC compliance -- encouraged by presentation by NorthStar's Kylee Beach -- and it fell on receptive ears this time
March 27, 2018 at 11:50 PM
SIFMA helps oust Bressler, Amery & Ross PC after alleged duplicity -- but weak pledge by replacement means 'issue' remains
Known DOL-rule naysayer Capital Forensics steps in to keep Broker Protocol list and draws immediate fire for stopping short of promise to avoid conflicts
January 31, 2018 at 7:59 PM
How UBS exited the Broker Protocol and why the aftereffects may surpass those of Morgan Stanley's earlier departure
Using Thanksgiving and the alleged complicity of his firm's attorneys as a smoke screen, CEO Tom Naratil made good on warning to slam the door on his sales force
November 28, 2017 at 2:37 AM
The T3 Enterprise Conference showed the dark side of the RIA software business in Vegas
RIAs may be reaching a point of diminishing returns in buying software unless RIA custodians can join them in the reinvention process -- with the tenuous fate of cleverDome hanging in the balance
November 7, 2017 at 1:00 AM
RIA lawyers cry foul against Bressler, Amery & Ross -- keeper of the Protocol flame -- after Morgan Stanley exit throws sunlight on attorney behavior
A livid Sharron Ash says she was stonewalled by Bressler, Amery when she called for info after spotting a buried notice that Morgan Stanley was bowing out of the Protocol
November 2, 2017 at 5:26 AM
Timing of Morgan Stanley's Broker Protocol withdrawal sends shocks through RIA legal and recruiting circles
Hundreds of planned and in-process breakaways are reassessed after keeper of the list, Bressler, Amery, & Ross, sat on the change for a week but a silver lining is already emerging
October 31, 2017 at 3:08 AM
Guilty as charged, Howard Present retreats to no-harm, no-foul defense in sentencing phase
Back against the wall, the ex-F-Squared CEO hopes for leniency because 'no investors suffered losses' as SEC seeks $11-million disgorgement and $150K penalty
