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Wells Fargo FiNet adviser managing $400 million joins LPL
NEWS BROKER DEALERS APR 21, 2021
Wells Fargo FiNet adviser managing $400 million joins LPL

Evan Lereah’s father started the Red Bank, New Jersey-based business 40 years ago.

Beacon Pointe acquires $230 million Texas RIA
NEWS RIAS APR 20, 2021
Beacon Pointe acquires $230 million Texas RIA

D.R. Saur Financial will be integrated into Beacon Pointe’s Plano, Texas, office.

Finra bars former Goldman analyst for insider trading
NEWS REGULATION AND LEGISLATION APR 20, 2021
Finra bars former Goldman analyst for insider trading

The analyst twice purchased securities after he learned a fellow analyst was upgrading his recommendation in impending research reports and then lied to Finra staff about his trading.

Duo managing $1.35 billion at Merrill Lynch moves to Janney
YOUR PRACTICE PRACTICE MANAGEMENT APR 19, 2021
Duo managing $1.35 billion at Merrill Lynch moves to Janney

Andrew Meredith and Kevin Lindung are based in Towson, Maryland.

OSJ managing $550 million switches to LPL from Royal Alliance
NEWS BROKER DEALERS APR 19, 2021
OSJ managing $550 million switches to LPL from Royal Alliance

Walnut Beech Advisors maintains offices in Michigan and New York

Time to learn about crypto
INVESTING ALTERNATIVES APR 19, 2021
Time to learn about crypto

Bitcoin hit a record of more than $64,000 as Coinbase Global Inc., the largest U.S. cryptocurrency exchange, went public last week. Advisers and Wall Street have reached an inflection point when it comes to cryptocurrencies.

Michigan duo managing $350 million at Merrill joins Rockefeller
YOUR PRACTICE PRACTICE MANAGEMENT APR 16, 2021
Michigan duo managing $350 million at Merrill joins Rockefeller

Low Group, a four-person team, is based in Bloomfield Hills, Michigan.

SEC partially settles fraud charges against co-founder of RIA
NEWS RIAS APR 16, 2021
SEC partially settles fraud charges against co-founder of RIA

Martin Silver of International Investment Group in Long Branch, N.J., will pay penalties to be determined.

Team managing $400 million at Truist moves to D.A. Davidson
YOUR PRACTICE PRACTICE MANAGEMENT APR 15, 2021
Team managing $400 million at Truist moves to D.A. Davidson

The three-adviser Marshall & Whatley Investment Group is based in Harrisonburg, Virginia.

CFB Board says July CFP exam can be taken remotely
YOUR PRACTICE PRACTICE MANAGEMENT APR 15, 2021
CFB Board says July CFP exam can be taken remotely

Candidates will have the choice of taking the test in person or via remote proctoring in November as well.