News Roundup (559)
Ed Jones Settles with Advisor Who Quit, Locked Staff Out of Office
- Saturday, 12 June 2021
- News Roundup
- Written by PFA News
Edward Jones has reached a confidential settlement with Russell Ryon Riggan, one of its FAs who resigned abruptly after 15 years with the firm only to set up shop next door as a broker for Raymond James. The deal was reached on June 3. So reports Financial Advisor IQ.
Read more...Client Associate Suing Amerprise Over FA Harassment, Demotion
- Saturday, 12 June 2021
- News Roundup
- Written by PFA News
Stephanie Henninger, a former registered client associate for Ameriprise, says she was sexually harassed by two of the firm’s FAs. So reports Financial Planning.
Read more...FA Charged with Defrauding Elderly Clients, Stealing Retirement Assets
- Saturday, 12 June 2021
- News Roundup
- Written by PFA News
A financial advisor from Middleboro, Massachusetts was arrested and charged for defrauding elderly clients and stealing retirement assets.
Read more...Merrill, CFFP Launch Advisor Designation for HNW Sports, Entertainment
- Friday, 28 May 2021
- News Roundup
- Written by PFA News
Many athletes and celebrities have often fallen victim to corrupt advisors in recent years. Now, Merrill Lynch Wealth Management and the College for Financial Planning have launched the Sports & Entertainment Accredited Wealth Management Advisor program. So reports Think Advisor.
Read more...Merrill, Wells Welcoming More Employees Back to the Office
- Friday, 28 May 2021
- News Roundup
- Written by PFA News
Advisors are beginning to return to the offices in greater numbers.
Merrill Lynch Wealth Management, for its part, is reopening offices to at least 10% of employees. It expects far more than that 10% will be going into their offices in the coming weeks. So reports Advisor Hub.
Read more...Ed Jones Granted Restraining Order Against Rep Who Quit, Set Up Shop Next Door
- Friday, 28 May 2021
- News Roundup
- Written by PFA News
Russell Ryon Riggan, who managed $500 million for Edward Jones in Texas, resigned without notice after 15 years with the firm, locked the office’s staff out, and then set up shop next door as a broker for Raymond James. So reports Financial Advisor.
Read more...How FAs Can Avoid Some Basic Pitfalls with Clients
- Saturday, 01 May 2021
- News Roundup
- Written by PFA News
A recent column in Financial Advisor Magazine entitled ‘Where Have All The Advisors Gone?’ highlights a number of areas clients say they are being underserved. This presents an opportunity for many FAs.
Read more...KC Chiefs Player to Put Entire Salary into Bitcoin
- Saturday, 01 May 2021
- News Roundup
- Written by PFA News
In consultation with his financial advisor, Sean Culkin, tight end for the Kansas City Chiefs, will become the first player in the NFL to convert his entire salary into Bitcoin. So reports GoBankingRates.com.
Read more...Fraudsters Steal FA’s Identity to Trick Investors Into Crypto Trades
- Saturday, 01 May 2021
- News Roundup
- Written by PFA News
The name of a financial advisor was used without permission to set up a website to trick investors into making cryptocurrency transactions. So reports Fox 2 Now in St. Louis.
Read more...Wells Fargo’s Branches Fall Below 5,000
- Sunday, 18 April 2021
- News Roundup
- Written by PFA News
Wells Fargo continued to shrink the number of its branches, which fell to under 5,000. So reports Business Insider.
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