Fired Raymond James Advisor Ordered To Repay $2M In Loans, Bonuses

Published on September 10, 2024

A fired Raymond James & Associates advisor was ordered by an arbitration panel to pay the firm more than $2 million in compensatory damages and fees, relating to a loan and bonus agreement he executed when he was hired.

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10 Investment Must Reads for This Week

September 10, 2024
Several investment managers are exploring how to overcome obstacles such as limited liquidity in order to package private assets into ETFs. Are covered call ETFs a good investment, asks barchart. These are among the investment must reads we found this week for wealth advisors.

BofA Private Wealth Duo With $700M AUM Joins LPL In N.Y.

September 10, 2024
LPL today announced that a duo from Bank of America Private Wealth with $700 million in advisory, brokerage and retirement plan assets, has joined its high-net-worth-focused independent employee affiliation model, LPL Private Wealth Management, to launch BrookBridge Private Wealth in Long Island, N.Y.