Over the course of the last two years, First Republic has been broadening its business-bank profile (successfully at that) by securing large producers from Wells Fargo, Merrill Lynch, and UBS (just to name a few).
Tagged with "Eccleston Law LLC"
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Blockchain and Cryptocurrencies: A Primer for Financial Planners Part Three
Posted on February 19th, 2019 at 3:48 PM
This is the third article in our three-part series on blockchain and cryptocurrencies. Part three is a culmination of what impact blockchain and cryptocurrencies will have on a business.
Blockchain and Cryptocurrencies: A Primer for Financial Planners Part Two
Posted on February 18th, 2019 at 4:30 PM
This is the second article in our three-part series on blockchain and cryptocurrencies. Part two is a break-down of how cryptocurrencies can be utilized as investments.
Blockchain and Cryptocurrencies: A Primer for Financial Planners
Posted on February 15th, 2019 at 2:47 PM
This is the first article in a three-part series to provide basic insight needed to understand the new world of blockchain. What is blockchain? How is it related to cryptocurrencies? What is “Bitcoin” all about?
Wells Fargo Launches New RIA Platform
Posted on February 14th, 2019 at 2:36 PM
In a recent press release, Wells Fargo announced the launch of its new service offering to help advisors become RIAs through its multi-channel business model. The goal of the model is to allow for ownership, independence and flexibility, as well as business growth. TradePMR, a privately held brokerage and custodian service provider, would provide middle-office support, while also utilizing First Clearing.
Former Mutual Securities Investment Adviser Suspended for Recommending Woodbridge Investments
Posted on February 13th, 2019 at 9:34 AM
FINRA has suspended former Mutual Securities investment adviser, Gary L. Pevey from the industry for one year for selling $1.1 million worth of Woodbridge Group of Companies (Woodbridge) investments to his clients.
IRS Awarded $300 Million to Whistleblowers in 2018
Posted on February 12th, 2019 at 12:05 PM
According to the Internal Revenue Service’s annual report for 2018, its whistleblower reward program has triggered collections of over $1.4 billion in sanctions from individuals and entities involved in tax fraud and other related violations.
Virginia Investment Adviser Sentenced to 13 Years in Prison in Connection with Operating a $5 Million Ponzi Scheme
Posted on February 8th, 2019 at 10:27 AM
According to the U.S. Department of Justice, Virginia investment adviser, Edward Lee Moody Jr. has been sentenced to 13 years in prison after pleading guilty to mail fraud and other related charges in connection with orchestrating a 13-year Ponzi-scheme.
FINRA to Start Closely Examining How Broker-Dealers are Complying with New Elder Abuse Rules
Posted on February 7th, 2019 at 1:09 PM
During the annual Securities Industry and Financial Markets Association (SIFMA) event in New York, FINRA representatives made it clear that the agency will start probing broker-dealers' compliance with its new rules meant to protect elderly clients from financial abuse and exploitation.
FINRA Panel Awards Two Teachers $2.38 Million in Connection with Fraud Claim
Posted on February 6th, 2019 at 9:57 AM
A FINRA panel has awarded two retired school teachers a total of $2.38 in connection with a claim that they had filed against Virginia-based broker-dealer, Capitol Securities, and its former broker, identified in the award as “Mr. T.”
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