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JULY 11, 2023

REGULATION AND COMPLIANCE

Raymond James to Pay $12.5M for 'Unreasonable' Commission Charges

Patrick Donachie

State regulators claim Raymond James charged customers a a $75 minimum commission charge, regardless of the size of the transaction.

FULL ARTICLE

TECHNOLOGY

Helios Introduces Custom Sleeving Capabilities

Rob Burgess

Advisors now have the ability to customize the firm’s model portfolios to reflect their or their clients’ personal preferences.

FULL ARTICLE

FASTCHAT VIDEO

Navigating Uncertainty: Expert Insights on Economic Outlook, Investment Strategies, and Market Opportunities

Sponsored by Parnassus Investments

Listen in as Todd Ahlsten and David Armstrong discuss the economic outlook and possible market opportunities in an uncertain environment.

WATCH NOW

RIA EDGE PODCAST

Halbert Hargrove’s JC Abusaid on Building the ‘RIA of Choice’

Mark Bruno

JC Abusaid provides a roadmap for other RIA firms to learn from and follow as they look to expand their talent base.

Sponsored by Schwab Advisor Services

LISTEN NOW

REGULATION AND COMPLIANCE

BofA to Pay $250M Over Extra Fees, Unauthorized Cards

Paige Smith and Katherine Doherty

Separately, Merrill Lynch was fined $6 million by the SEC for failing to file hundreds of Suspicious Activity Reports from 2009 to 2019.

FULL ARTICLE

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