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Advisors Question How FINRA Settlement Will Impact Robinhood

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 client relate

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

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

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 and added an