News Roundup (677)
Edward Jones’ Broker Headcount Falls Again
- Monday, 09 August 2021
- News Roundup
- Written by PFA News
Edward Jones saw its roster of brokers fall by 306, or about 1.6%, from last year to 18,855 in June. This marks the second quarterly drop in a row. So reports Advisor Hub.
Read more...Virus Forces Wells Fargo to Delay Return to Office
- Monday, 09 August 2021
- News Roundup
- Written by PFA News
Wells Fargo is pushing back its return-to-office plans amid soaring COVID-19 cases. So reports the Associated Press.
Read more...Vanguard: Workers Who Get COVID-19 Vax, Get $1,000
- Monday, 09 August 2021
- News Roundup
- Written by PFA News
Vanguard is telling its employees it will pay them $1,000 to get the COVID-19 vaccine jab. So reports CNBC.
Read more...JPMorgan to Workers: You Must Mask Up in the Office
- Monday, 09 August 2021
- News Roundup
- Written by PFA News
Employees of JPMorgan Chase in the United States, regardless of vaccination status, must wear a mask in the office. So reports Reuters.
Read more...SEC, FBI Warn of Fraudsters Posing as Brokers, Investment Advisers
- Tuesday, 27 July 2021
- News Roundup
- Written by PFA News
The FBI Criminal Investigative Division and the United States Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) warn of fraudsters swindling investors while pretending to be registered brokers or investment advisers.
Read more...Skybridge’s Scaramucci: Get Vax Or Get Out
- Tuesday, 27 July 2021
- News Roundup
- Written by PFA News
“If you don’t want to get vaccinated, leave” Anthony Scaramucci told his staff. The Skybridge founder and co-managing partner recently issued the ultimatum to his staff over the COVID-19 vaccine. So reports CNBC.
Read more...Wirehouses Struggle to Keep Advisors Satisfied: J.D. Power
- Wednesday, 14 July 2021
- News Roundup
- Written by PFA News
Despite the massive, industry-wide disruption caused by the COVID-19 pandemic, booming financial markets and significant gains in production have boosted overall financial advisor satisfaction in the J.D. Power 2021 U.S. Financial Advisor Satisfaction Study.
Read more...Merrill Facing More Discrimination Allegations by Black Ex-Reps
- Tuesday, 13 July 2021
- News Roundup
- Written by PFA News
Two ex-Merrill brokers claim in a lawsuit that Black FAs at the firm were given less compensation and received fewer promotions to senior positions than their white counterparts. The lawsuit also claims Black FAs were fired more often as well. So reports Think Advisor.
Read more...Wife Turns in LPL Advisor After Deadly Crash
- Tuesday, 13 July 2021
- News Roundup
- Written by PFA News
Timothy Hamano, 64, has been charged with vehicular manslaughter after his wife turned him in to the authorities. So reports Financial Advisor Magazine.
Read more...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.
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