An advisor fee bill hits Congress again, this time gaining qualified support from RIA groups
Rep. Maxine Waters' bill, which would require fees from advisors for the SEC, is unlikely to pass, but groups say it will push off FINRA efforts for now
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Skip Schweiss exit from TD Ameritrade means the RIA custody business lost its most visible corporate-paid advocate -- for the moment
TD's now ex-managing director of advisor advocacy is set to become the FPA president, but most peers agree the 58-year-old is poised to 'write his ticket' with another custodian or national RIA
August 5, 2020 at 9:33 PM
Charles 'Chuck Schwab' called James Gorman to protest a two-broker poach, kicking off a hydra-headed legal battle, costing Morgan Stanley millions, so far
The Schwab founder and chairman invoked Charles Schwab Corp.'s zero-tolerance policy against Wall Street -- or RIA -- poaching of talent and AUM from Schwab branches.
March 9, 2023 at 1:23 AM
Why FINRA's late appearance into smoothie-throwing broker James Iannazzo's life might be rough
It's been about 11 months since Merrill Lynch fired him, and the CFP Board stripped him of the CFP mark; attracting the SRO's attention means more woes.
December 29, 2022 at 1:05 AM
Biz Briefs: SEC cracks down anew on RIA reverse churning ~ Envestnet borrows $350 million to buy its own stock ~ Fidelity is creating a crypto waiting list while exec questions crypto ecosystem
Fed up SEC is ready to take on all nonsense at once; stock shocks, Orwell's new name game; Fidelity hosts a line dance
November 18, 2022 at 2:56 AM
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TD Ameritrade
Asset Custodian
Top Executive: Tom Nally
Stephen Winks
Like in many industries, process is the key to doing more with less. The industry and regulators both have ignored expert authenticated process and advanced technology to support an unprecedented level of expert counsel at a fraction of the cost of an expensive packaged product. As Edwards Deming counseled, “until you can describe what you are doing in terms of process, you don’t know what you are doing.” When the industry learns this lesson, regulators will find they do not have a budgetary problem associated with the regulation of advisory services. Through modernity and associated innovation the consumer can be assured of electronic compliance to statutory fiduciary requirements built into each advisors/firms investment process at no additional regulatory cost. The important by product is the skill of the advisor in managing investment and administrative values also becomes transparent initiating a virtuous cycle of constant improvement.
This innovation is just months away entailing the convergence of several concurrent breakthroughs representing a multi-generational leap in financial services not possible in a brokerage format, and does not require SEC or Congressional action, just the desire for professional standing in the consumer’s best interests with the means to prove it.SCW
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