Custodians/Fee Only Articles

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Advisory Firm Shocked Finra Orders It To Pay $3.8M To ExxonMobil Retirees

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A Finra arbitration panel rules in favor of the retirees, who say they were told a "total return" model would increase their S&P 500 gains while reducing the risks of trading equities.

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Schwab On Robots, Recruiting and Regulation

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At the Schwab Impact conference in Denver, Bernie Clark discusses Schwab's robo platform and how the company wants to interrupt the advisor flow to the B-D channel.

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Women Advisors Learn Value Of ‘Executive Presence’

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Underestimating the importance of “executive presence” can undermine women’s careers, said two experts at Schwab's Impact conference.

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Liz Ann Sonders Sees Volatility Rise As Bull Market Matures

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Divergences in global economy, monetary policies and inflation rates point to a surge in stock price swings.

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Bernie Clark: Schwab's 'Robo' Platform Is No Threat To Advisors

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The head of Schwab's custody business tells advisors at the firm's IMPACT conference how the new service will benefit them.

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Greg Valliere: GOP Shouldn't Get Overconfident About Victory

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The Beltway expert dispels six myths about Washington.

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State Regulator Actions Against Registered Reps Soars 89%, Down Slightly For RIAs

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Enforcement actions against broker-dealer sales representatives soared 89 percent last year.

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Schwab Seeks A More Diverse RIA Industry

by FA Staff

The firm’s new program aims to build a culture of inclusion for advisors and investors alike.

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Independent Broker-Dealers Increased ETF Assets In Third Quarter

by FA Staff

Independent B-Ds were the only financial advisory businesses to increase mutual fund and ETF assets under management in the third quarter despite the market downturn, says Broadridge Financial.

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