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People's United Bank joins LPL platform
NEWS BROKER DEALERS APR 27, 2022
People's United Bank joins LPL platform

The bank was recently acquired by M&T, and its program will add 30 advisers and roughly $6 billion in assets.

UBS fined $350,000 for failing to report certain trades
NEWS WIREHOUSES APR 27, 2022
UBS fined $350,000 for failing to report certain trades

Finra says the firm failed to report certain trades in TRACE-eligible securities.

Edelman hires Goldman exec as CFO
YOUR PRACTICE PRACTICE MANAGEMENT APR 27, 2022
Edelman hires Goldman exec as CFO

Suzanne van Staveren will work on Edelman Financial Engines’ long-term growth strategy and financial objectives.

Snowden Lane Partners hires trio managing $350 million
NEWS ADVISOR MOVES APR 26, 2022
Snowden Lane Partners hires trio managing $350 million

Andrew Randak, Nicole Boutmy de Katzmann and Kristian Sedeño, formerly of Fieldpoint Private Advisors, have formed The Mile Creek Global Group.

Texas rep managing $265 million joins LPL from B. Riley
NEWS BROKER DEALERS APR 26, 2022
Texas rep managing $265 million joins LPL from B. Riley

Michael Gavett is moving to Linsco, the employee unit of LPL, in Dallas.

Merrill’s digital chief joins LPL as chief product officer
NEWS BROKER DEALERS APR 26, 2022
Merrill’s digital chief joins LPL as chief product officer

Kabir Sethi will head firm’s technology; Matt Enyedi will lead national sales and marketing.

Raymond James adds team that managed $340 million at Merrill
NEWS BROKER DEALERS APR 25, 2022
Raymond James adds team that managed $340 million at Merrill

The four advisers will operate as Resolute Private Wealth in Forest, Virginia.

Discussing the Schwab-TD Ameritrade merger with Tom Bradley
THE INVESTMENTNEWS PODCAST APR 25, 2022
Discussing the Schwab-TD Ameritrade merger with Tom Bradley

Bruce and Jeff talk with Tom Bradley, managing director at Charles Schwab, about the Schwab-TD Ameritrade merger. They break down the multiyear process of the acquisition and get an update on its current status.

California RIA firm employee arrested in double homicide
NEWS BROKER DEALERS APR 22, 2022
California RIA firm employee arrested in double homicide

Ramy Fahim is suspected of killing a co-worker at Pence Wealth Management and that man's roommate earlier this week.

Volatility, recession top investor fears, study finds
RETIREMENT LIFE INSURANCE AND ANNUITIES APR 22, 2022
Volatility, recession top investor fears, study finds

Virtually all advisers have risk-management strategies in place, says Nationwide.