Most Emailed Stories


Mark Casady continues to pull big levers to cut costs, regain momentum and get the stock price back to where it once was.

What to make of LPL freezing the wages of most staffers -- and some reaction to the company's explanation
Cost savings may be less the issue than the desire to turn a page, change a culture and even headhunt Google- and Goldman Sachs-like visionary execs

Friday 8.19.16
Alan Wolper: The biggest challenge [for FINRA] is finding a way to strike a reasonable balance between being the tough cop on the beat it yearns to convey and an industry association that actually helps its members.

FINRA shifts an unwelcome spotlight away from itself -- by training it on the brokers it oversees
The embattled SRO is spending $3.5 million to advertise BrokerCheck and is requiring its front-and-center placement on firms' websites as public demand for heightened fiduciary care grows

Wednesday 8.17.16
Brodie Cobb: I saw a lot of similar-sized very successful firms begin to sell in San Francisco like Constellation, Luminous and Bakers Street and the question is: why?

How Tiedemann and Presidio did a no-cash merger of their $4.9 billion and $4 billion RIAs -- and their disarming honesty about jitters
A restructuring by Presidio's stricken CEO's deputy paved the way for a 'non-threatening' union in which all principals keep their equity

Tuesday 8.16.16
Dale Brown via Skype: We filed the lawsuit to win, not to make a statement or lambaste the DOL.

Jaws drop after Dale Brown Skypes keynote address to Laser App conference with the claim: 'We were fiduciary believers long before being a fiduciary was cool'
The FSI chief's comments lit up Twitter then T3's Joel Bruckenstein and cleverDome announced a cybersecurity consortium at the San Diego gathering

Monday 8.15.16
Matt Fellowes: You have annuity companies coming out with new tools and fund companies but there isn't a solution out there that is really different.

With a 'unicorn' as the stated objective, Morningstar hijacks its own venture founder, backs him with VC funding and sends him out into an annuity world
HelloWallet founder Matt Fellowes left his team with eyes on extracting profits from baby boomers looking to spend down their nest eggs

Friday 8.12.16

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