Improper Soft Dollar Payments

FINRA has fined Terra Nova Financial $400,000 for making over $1Million in improper soft dollar payments to five hedge fund managers. The charges were also due to poor supervision and failing to retain its business-related electronic instant messages.
 
“Broker-dealers that collect soft dollars and make payments for their hedge fund clients must possess and implement adequate [...]

Using technology to lure in advisors

Some firms are using their platform upgrade as a tool to recruit advisors…
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Brokers in transition

Brokers looking for new homes and transitioning, some might say they are not big producers but…
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Building support networks for female advisors

Women in the industry networking…
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LPL advisors looking for new home

Many LPL advisors may be looking for new broker dealer….
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