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B. Riley to acquire remaining 55% of National Holdings
NEWS INDUSTRY NEWS JAN 11, 2021
B. Riley to acquire remaining 55% of National Holdings

The combination of Los Angeles-based B. Riley and New York-based National Holdings will result in a firm with roughly 900 registered representatives and $29 billion in client assets.

Investing depends upon a stable government
NEWS OPINION JAN 11, 2021
Investing depends upon a stable government

Clients look to advisers for stability — especially when everything we thought as a nation about our republic was thrown into question in just a few short hours

Bob Doll's 2021 Prediction Special
THE INVESTMENTNEWS PODCAST JAN 08, 2021
Bob Doll's 2021 Prediction Special

Bob Doll joins Jeff and Bruce for a solid conversation breaking down not only his 2021 market predictions, but his own story and his Nostradamus batting average.

Morgan Stanley rep managing $138 million bolts to Commonwealth
NEWS BROKER DEALERS JAN 06, 2021
Morgan Stanley rep managing $138 million bolts to Commonwealth

Dale Kramer opens an indie shop, Kramer Wealth Strategies, in upstate New York

SEC bars former Morgan Stanley broker who stole $5 million
NEWS REGULATION AND LEGISLATION JAN 05, 2021
SEC bars former Morgan Stanley broker who stole $5 million

Final judgment also finds Barry F. Connell liable for restitution, which he repaid in criminal case

Skip Schweiss becomes FPA president
YOUR PRACTICE PRACTICE MANAGEMENT JAN 05, 2021
Skip Schweiss becomes FPA president

The former executive at TD Ameritrade will lead the planning group this year

Florida indie managing $400 million hops to LPL from Kestra
YOUR PRACTICE PRACTICE MANAGEMENT JAN 05, 2021
Florida indie managing $400 million hops to LPL from Kestra

Six-adviser FDR Financial has offices in Boca Raton and Hollywood

Emigrant takes stake in $1.7 billion Texas RIA
NEWS INDUSTRY NEWS JAN 04, 2021
Emigrant takes stake in $1.7 billion Texas RIA

Ulrich Investment Consultants in San Antonio will retain control

Billion-dollar Morgan Stanley team goes indie with Raymond James
NEWS BROKER DEALERS JAN 04, 2021
Billion-dollar Morgan Stanley team goes indie with Raymond James

Foursome creates Campbell Johnson McGiboney Wealth Advisors in Franklin, Tennessee

Elad Roisman named acting SEC chairman
NEWS REGULATION AND LEGISLATION JAN 04, 2021
Elad Roisman named acting SEC chairman

The commissioner had been counsel to Senate Banking Committee prior to joining the commission