Financial services consultants @LouisDiamondDC, @Elzweig and @tasnady_assoc weigh in on the 2024 advisor/broker compensation plans of wirehouses @MerrillLynch, @MorganStanley and @UBS: thinkadvisor.com/2023/11/09/…
Ex-@NFL guard turned @MorganStanley rep William Donovan Ard was fined $15K by @FINRA and suspended 4 months for multiple violations: thinkadvisor.com/2023/09/26/…
With only 1 month to go before the transition of @TDAmeritrade accounts to @CharlesSchwab, experts weigh in on what TD advisors should do now before the conversion over Labor Day weekend: thinkadvisor.com/2023/08/03/…
@MESA_Berman retweeted
United Advisor Group Launches as RIA Aggregator ift.tt/knrsyEc
Ex-@WellsFargo advisor sues the firm, 4 male co-workers, alleging she was raped by one of the defendants and firm retaliated after she reported it: thinkadvisor.com/2023/02/06/…
Ex-broker for @AdvisorGroupBDs's Securities America is fined and suspended by @FINRA for impersonating dead relative who was a client of the firm: thinkadvisor.com/2022/12/30/…
Ex-@MorganStanley pleads guilty to $7.2 million Ponzi scheme in which he defrauded several of his clients while with the wirehouse: thinkadvisor.com/2022/09/19/…
A new court date was scheduled for the @LPL network firm employee charged with killing his co-worker and the co-worker's roommate: thinkadvisor.com/2022/07/25/…
By the end of 2023, all @EdwardJones advisors will have the option to share a branch office with another advisor: thinkadvisor.com/2022/06/13/…
@MESA_Berman retweeted
Friends, I need some help
My husband Ryan was just diagnosed with one of the most aggressive types of cancer - a brain cancer called Glioblastoma
I'm looking for contacts at a hospital in japan or at drug maker @DaiichiSankyoUS
Read this and let me know if you can help 👇
Professor Jeremy Siegel of @Wharton and @WisdomTreeETFs looks into his crystal ball and makes predictions for the rest of 2022, including there won't be a recession:
Oops! @WellsFargo accidentally sends out a letter telling some of the clients of an ex-advisor at the firm that he had died, when he merely left to join @kestrafinancial-affiliated @oXYGenFinancial: thinkadvisor.com/2022/04/29/…
My condolences to the family of Edward “Ned” Johnson III and the entire @Fidelity family.... thinkadvisor.com/2022/03/24/…
Florida judge sentences former broker to seven years in prison over a $2.4 million scam that targeted retirees: thinkadvisor.com/2022/02/16/…
Former @WellsFargo broker winds up on the losing end of a New Jersey Superior Court judge's decision to award $909,000 to an eye doctor bilked by the ex-rep: thinkadvisor.com/2022/02/15/…
Actor Zach Avery is sentenced to 20 years in federal prison and ordered to pay $230.4 million in restitution to victims of his Ponzi scheme: thinkadvisor.com/2022/02/15/…
Recruiters @JHenschen, @LouisDiamondDC and @tasnady_assoc give their takes on @CommonwealthFN's shift to basing advisor transition money on asset levels instead of a percentage of GDC: thinkadvisor.com/2022/02/09/…
Ex-@CambridgeIBD broker is sentenced to three years in prison for stealing $472K from investors: thinkadvisor.com/2022/02/07/…
Ex-@NewYorkLife broker is sentenced to 11 years in prison for stealing $1.3 million from a 72-year-old client: thinkadvisor.com/2022/02/04/…
Ex-broker is sentenced to 210 months in prison for his role in running a nationwide Ponzi scheme that scammed at least 1,000 investors out of over $100 million: thinkadvisor.com/2022/01/14/…