Grete Suarez

Grete worked for InvestmentNews in 2016 as an Editorial Assistant before moving on to CNN and latterly Fox Business Network and Yahoo Finance. Connect with her on LinkedIn here.

Grete Suarez
Displaying 36 results
Galvin claims software developer defrauded investors in trading scheme
YOUR PRACTICE FINTECH DEC 12, 2016
Galvin claims software developer defrauded investors in trading scheme

Bruce S. Horowitz charged big upfront fees but never invested any of his clients' money, the Massachusetts regulator claims.

Finra fines eight broker-dealers $6.2 million for selling customers unsuitable variable annuity products
RETIREMENT LIFE INSURANCE AND ANNUITIES NOV 28, 2016
Finra fines eight broker-dealers $6.2 million for selling customers unsuitable variable annuity products

In addition, Voya Financial and four Cetera Group firms will pay customers $6.3 million in restitution.

Adviser allegedly took $529,000 from investors in Ponzi scheme
NEWS REGULATION AND LEGISLATION NOV 22, 2016
Adviser allegedly took $529,000 from investors in Ponzi scheme

Stephen S. Eubanks used the money to fund his lifestyle and pay earlier investors, according to William Galvin, Secretary of the Commonwealth in Massachusetts.

Hybrid adviser managing $650 million in assets moves to LPL Financial from Voya Financial
NEWS RIAS NOV 21, 2016
Hybrid adviser managing $650 million in assets moves to LPL Financial from Voya Financial

Capital Financial Planning in Albany, N.Y., joining LPL's brokerage and RIA platforms with 18 advisers.

Independent RIA managing $395 million of client assets joins LPL Financial
NEWS RIAS NOV 21, 2016
Independent RIA managing $395 million of client assets joins LPL Financial

Puplava Financial Services joins a wave of independent RIAs moving to larger broker-dealers.

Two Wells Fargo advisers and one from Edward Jones join Raymond James affiliate Steward Partners
NEWS RIAS NOV 21, 2016
Two Wells Fargo advisers and one from Edward Jones join Raymond James affiliate Steward Partners

Carl Gravina and Liana Poodiack managed $450 million of client assets at Wells Fargo, and Joshua Houle managed $50 million at Edward Jones

Hybrid RIA managing $2.2 billion in client assets joins Securities America from LPL Financial
RETIREMENT RETIREMENT PLANNING NOV 21, 2016
Hybrid RIA managing $2.2 billion in client assets joins Securities America from LPL Financial

WealthPLAN Partners was with LPL for 27 years.

NEWS BROKER DEALERS NOV 21, 2016
Advisers managing $220 million in assets join Raymond James from UBS

Financial advisers managing $220 million in client assets joined Raymond James from UBS Financial Services.

Capital One will eliminate commissions on IRAs
RETIREMENT RETIREMENT PLANNING NOV 14, 2016
Capital One will eliminate commissions on IRAs

The transition will be completed by the time the Department of Labor fiduciary rule takes effect.

Finra barred WFG broker for selling customers a Ponzi scheme
NEWS INDUSTRY NEWS NOV 14, 2016
Finra barred WFG broker for selling customers a Ponzi scheme

Stuart G. Dickinson is ordered to pay close to $1 million in restitution.