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Advisors Question How FINRA Settlement Will Impact Robinhood

Advisors Question How FINRA Settlement Will Impact Robinhood
wealthmanagement.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from wealthmanagement.com Daily Mail and Mail on Sunday newspapers.

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As RIAs Grow, So Does the Potential for Employment-Related Issues

Legal issues related to hiring and firing advisors are becoming more commonplace, says RIA counselor Brian Hamburger.
As the independent registered investment advisor channel continues to grow, firms are getting larger; many RIAs now have national aspirations, acquiring firms and, increasingly, recruiting new advisors from established companies.
“With that comes some burdens that we can’t overlook,” said Brian Hamburger, president and CEO of MarketCounsel, speaking at the DeVoe & Company G2 Forum this week. “Not only does the potential for client-related issues and disputes increase, but employment-related challenges are to be expected.”
“As those challenges emerge, the founding advisors are likely to encounter human resource issues and conflicts as diverse as violations of the firm’s own policies and procedures, issues like sexual harassment or discrimination and similar claims, consistent supervision of staff and effective implementation of c ....

Brian Hamburger , Hamburger Law Firm , Devoe Company , Sharron Ash , பிரையன் ஹாம்பர்கர் , ஹாம்பர்கர் சட்டம் நிறுவனம் , டேவோயே நிறுவனம் , ஷரோன் சாம்பல் ,

Hundreds of Firms Didn't File Form CRS, SEC Exam Director Says

Hundreds of Firms Didn't File Form CRS, SEC Exam Director Says
wealthmanagement.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from wealthmanagement.com Daily Mail and Mail on Sunday newspapers.

Brian Hamburger , Gail Bernstein , Pete Driscoll , Investment Adviser Association Compliance Conference , Division Of Examinations , Counsel Gail Bernstein , Regulation Best Interest , Marketcounsel President , பிரையன் ஹாம்பர்கர் , கெயில் பெர்ன்ஸ்டீன் , பீட் ட்ரிஸ்கல் , பிரிவு ஆஃப் தேர்வுகள் , ஒழுங்குமுறை சிறந்தது ஆர்வம் ,

SEC To Focus on Climate Risks, Reg BI in 2021 Exam Priorities

SEC To Focus on Climate Risks, Reg BI in 2021 Exam Priorities
wealthmanagement.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from wealthmanagement.com Daily Mail and Mail on Sunday newspapers.

Brian Hamburger , Les Abromovitz , Allison Herren Lee , Division Of Corporation , Division Of Examinations , Nominee Gary Gensler Senate , Regulation Best , Chair Allison Herren Lee , Corporation Finance , Nominee Gary Gensler , Regulation Best Interest , பிரையன் ஹாம்பர்கர் , அல்லிசன் ஹெரன் லீ , பிரிவு ஆஃப் நிறுவனம் , பிரிவு ஆஃப் தேர்வுகள் , ஒழுங்குமுறை சிறந்தது , நாற்காலி அல்லிசன் ஹெரன் லீ , நிறுவனம் நிதி , ஒழுங்குமுறை சிறந்தது ஆர்வம் ,

Elliot S. Weissbluth, Hightower Advisors mastermind, cashes out and vacates chairman role as Pershing's ex-CEO Lisa Dolly takes a board seat

News, Vision & Voice for the Advisory Community
The Chicago rollup s founder got paid better by doing the second-stage exit and the new cast on the Board also includes Bob Oros ascending to chair and Darrell Horn of Green Square Wealth Management joining
February 19, 2021 8:58 PM by Lisa Shidler
Brooke s Note: For anyone who knows both Elliot Weissbluth and Bob Oros, it s pretty clear that a psychologist would put them in two different subcategories. Both can sell like the dickens, but Weissbluth has the more alpha style. As Tim Welsh puts it in this article, he was just what the industry needed when he founded Hightower a roll-up pioneer who mass-liberated a whole upmarket class of hybrid RIA breakaway pioneers at a time when leadership was needed. Hightower is now a more buttoned down firm of RIAs, fancier backers, experienced managers, bigger AUM and less controversy. There s no better proof of that than how it completed its transition to a new chairman a ....

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