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Cresset hires $500 million Goldman adviser
NEWS RIAS FEB 11, 2021
Cresset hires $500 million Goldman adviser

Hanley Sayers will join the registered investment advisory firm in Houston, expanding Cresset's footprint to Texas.

CFP Board schedules exam for March
YOUR PRACTICE PRACTICE MANAGEMENT FEB 10, 2021
CFP Board schedules exam for March

The CFP exam will again include a remote proctoring option for eligible candidates.

Planners increased pro bono work 7% during pandemic
NEWS INDUSTRY NEWS FEB 10, 2021
Planners increased pro bono work 7% during pandemic

CFP holders helped 7,839 underserved individuals last year, the Financial Planning Association says.

SEC charges former Minneapolis-area RIA with $2.25 million fraud
NEWS REGULATION AND LEGISLATION FEB 09, 2021
SEC charges former Minneapolis-area RIA with $2.25 million fraud

Isaiah Goodman of Becoming Financial Advisory Services allegedly siphoned off most of clients’ money and spent it on himself

Securities firm owner, late scammer’s trust ordered to cough up $2.7 million
NEWS REGULATION AND LEGISLATION FEB 09, 2021
Securities firm owner, late scammer’s trust ordered to cough up $2.7 million

SEC obtains judgments against Seth Leyton and the trust of the orchestrator of a fraud involving collateralized mortgage obligations.

UBS nabs J.P. Morgan Private Bank team managing $6.5 billion
YOUR PRACTICE PRACTICE MANAGEMENT FEB 09, 2021
UBS nabs J.P. Morgan Private Bank team managing $6.5 billion

The group of five advisers, which was with J.P. Morgan for nine years, will join UBS' Century City office in Los Angeles.

First Allied team managing $130 million forms own RIA
NEWS BROKER DEALERS FEB 09, 2021
First Allied team managing $130 million forms own RIA

Mission Financial Group in Hawaii will retain its B-D affiliations through First Allied.

SEC charges repeat scammer with investment fraud
NEWS REGULATION AND LEGISLATION FEB 08, 2021
SEC charges repeat scammer with investment fraud

Stephen Moleski, who was arrested for a 1989 scheme, was alleged to be running an unregistered offering and acting as an unregistered broker.

THE INVESTMENTNEWS PODCAST FEB 08, 2021
'Moneymaking and money losing.' Amid fallout from Robinhood, GameStop and Reddit, what will regulators do?

Tyler Gellasch from Healthy Markets joins Jeff and Bruce to discuss what the potential regulatory fallout will be from the recent spate of social media fueled trading frenzies.

Welcoming the return of industry conferences
NEWS OPINION FEB 08, 2021
Welcoming the return of industry conferences

Betting that conditions will improve and restrictions be lessened in coming months, a sprinkling of fintech companies and others in and around the financial advice business have announced a resumption of live conferences to be held later in the year.