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CFP Board imposes interim suspension on barred rep
YOUR PRACTICE PRACTICE MANAGEMENT AUG 18, 2022
CFP Board imposes interim suspension on barred rep

Pending investigation, Massachusetts adviser Filippo Mastrocola can’t use CFP certification mark.

Barred New Jersey broker charged in $1 million phony loan scheme
NEWS REGULATION AND LEGISLATION AUG 17, 2022
Barred New Jersey broker charged in $1 million phony loan scheme

Criminal and civil fraud charges were filed against Anthony Mastroianni Jr., who sold fake promissory notes to older investors.

Massachusetts slaps MassMutual unit with $250,000 fine
RETIREMENT LIFE INSURANCE AND ANNUITIES AUG 17, 2022
Massachusetts slaps MassMutual unit with $250,000 fine

Regulator says rep defrauded clients by saying variable annuities were commission free.

Geoffrey Brown stepping down as NAPFA CEO
YOUR PRACTICE PRACTICE MANAGEMENT AUG 17, 2022
Geoffrey Brown stepping down as NAPFA CEO

The association's board will engage an interim CEO while it searches for a permanent successor.

CFP Board cites 66% pass rate at July exam
YOUR PRACTICE PRACTICE MANAGEMENT AUG 16, 2022
CFP Board cites 66% pass rate at July exam

Just 7% of the 2,596 people who took the CFP exam in July did so remotely.

$1.4 billion team joins Commonwealth from Principal
NEWS BROKER DEALERS AUG 16, 2022
$1.4 billion team joins Commonwealth from Principal

Strategic Financial Solutions has seven advisers and is based in Cedar Rapids, Iowa.

UBS duo managing $770 million goes indie with Sanctuary
NEWS RIAS AUG 15, 2022
UBS duo managing $770 million goes indie with Sanctuary

The pair have opened Marble Wealth in Montgomery, Alabama, and have been joined by Adam Rogers, previously a portfolio manager at Retirement Systems of Alabama.

Cambridge Investment elevates three to office of the CEO
NEWS BROKER DEALERS AUG 15, 2022
Cambridge Investment elevates three to office of the CEO

Colleen Bell, Jeff Vivacqua and Seth Miller become presidents of their respective divisions as part of a new organizational structure.

Exploring single-stock ETFs with Nate Geraci
THE INVESTMENTNEWS PODCAST AUG 15, 2022
Exploring single-stock ETFs with Nate Geraci

Jeff takes the pod solo, interviewing the founder and president of The ETF Store, Nate Geraci, about the nuances of single-stock ETFs. Nate talks about how we got to this point, how the newly released ETFs that invest in a single security work, and who they work for.

Private bankers from Wells Fargo, BofA form RIA
NEWS RIAS AUG 15, 2022
Private bankers from Wells Fargo, BofA form RIA

Startup Fidelis Capital has offices in Tampa and Dallas; the bankers advised on almost $6 billion in AUM at their former firms.