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InvestmentNews
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SEC permanently bars RIA Michael Shillin over fraud
NEWS REGULATION AND LEGISLATION JAN 10, 2022
SEC permanently bars RIA Michael Shillin over fraud

Obtains partial judgment against Wisconsin adviser; court will determine penalties later.

Kevin Ruth to lead private wealth at Raymond James
NEWS BROKER DEALERS JAN 10, 2022
Kevin Ruth to lead private wealth at Raymond James

The former Fidelity executive will develop strategies for advisers serving high-net-worth clients.

$600 million Lincoln Financial team switches to LPL
NEWS BROKER DEALERS JAN 10, 2022
$600 million Lincoln Financial team switches to LPL

McLaughlin Asset Management, which is based in Haddonfield, N.J., is affiliating through OSJ Gladstone Wealth Partners.

January 10, 2022
DIGITAL ARCHIVE JAN 10, 2022
January 10, 2022

New-school communications: Adviser marketing with Megan Carpenter
THE INVESTMENTNEWS PODCAST JAN 10, 2022
New-school communications: Adviser marketing with Megan Carpenter

Jeff and Bruce talk options for marketing, niche advisory and being authentic with Megan Carpenter, the CEO and co-founder of FiComm Partners.

There’s much to look forward to in 2022
YOUR PRACTICE FINTECH JAN 10, 2022
There’s much to look forward to in 2022

The InvestmentNews reporting team looks ahead to 2022 and sees many of these long-term trends continuing.

New Jersey team managing $315 million goes from Ameriprise to LPL
NEWS RIAS JAN 07, 2022
New Jersey team managing $315 million goes from Ameriprise to LPL

Liberty Point Advisors affiliates through Independent Advisor Alliance OSJ.

Pacific Life to pay $3 million for doing unlicensed business
RETIREMENT RETIREMENT PLANNING JAN 07, 2022
Pacific Life to pay $3 million for doing unlicensed business

New York says insurer improperly engaged in pension risk transfer business.

PE firm Parthenon to acquire $7.46 billion RIA
NEWS INDUSTRY NEWS JAN 06, 2022
PE firm Parthenon to acquire $7.46 billion RIA

RSM US Wealth Management will be renamed Choreo.

Advisers managing $230 million join Raymond James in Florida
NEWS ADVISOR MOVES JAN 06, 2022
Advisers managing $230 million join Raymond James in Florida

Truist and Cetera reps form team in Destin; Merrill Lynch rep switches in Aventura.