IE Staff
Research by:
Jordan Barrera, Daniel Calabretta, Maddie Johnson, Surina Nath
Research editor:
Katie Keir
Click the image below to download a PDF of the chart.
Report Card on Banks 2019 main chart
Research by:
Jordan Barrera, Daniel Calabretta, Maddie Johnson, Surina Nath
Research editor:
Katie Keir
Click the image below to download a PDF of the chart.
How branch-based financial advisors and planners rated their firms’ performance
Branch advisors say institutions aren’t adequately preparing them to use new technology
Advisors recognize the limits of a restricted shelf, but say they’re still able to serve clients
The category saw the biggest rating improvement in the Report Card
Claim asks for $1.2 million in damages arising from dispute over regulator-approved credentials for title protection
SRO proposes doubling maximum fines, toughening suspensions
Regulators to boost fee transparency, explore enhanced retail access
Qualified investments review could lead to lower costs for investors but also restrictions