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InvestmentNews
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Court orders asset manager to return $1 million to investors
NEWS REGULATION AND LEGISLATION SEP 18, 2020
Court orders asset manager to return $1 million to investors

SEC complaint alleges John Geraci knew of fraud when marketing his fund

SEC charges former Transamerica rep with fraud
NEWS REGULATION AND LEGISLATION SEP 17, 2020
SEC charges former Transamerica rep with fraud

Scott Allen Fries of Cincinnati took $178,000 from clients and spent it on himself

Robertson Stephens names Raj Bhattacharyya CEO
YOUR PRACTICE PRACTICE MANAGEMENT SEP 17, 2020
Robertson Stephens names Raj Bhattacharyya CEO

He replaces Stuart Katz, who continues as the firm’s CIO

N.J. governor, lawmakers agree to raise tax on millionaires
RETIREMENT TAX SEP 17, 2020
N.J. governor, lawmakers agree to raise tax on millionaires

Tax rate for those with incomes above $1 million will rise to 10.75% from 8.97%

Renewed emphasis on health care planning coming, says Cerulli
RETIREMENT RETIREMENT PLANNING SEP 16, 2020
Renewed emphasis on health care planning coming, says Cerulli

The HSA business is set to evolve as financial wellness programs proliferate

Hybrid managing $1 billion moves to LPL from Securian
NEWS BROKER DEALERS SEP 16, 2020
Hybrid managing $1 billion moves to LPL from Securian

SGC Financial and Insurance Services in San Mateo, California, has 13 advisers

Merrill team managing $1 billion goes indie with Kestra
NEWS BROKER DEALERS SEP 16, 2020
Merrill team managing $1 billion goes indie with Kestra

Four-adviser RS Will Wealth Management established in Frederick, Maryland

Citi hires Merrill exec to head wealth management
YOUR PRACTICE PRACTICE MANAGEMENT SEP 15, 2020
Citi hires Merrill exec to head wealth management

David Poole has led Merrill Edge and Merrill Guided Investing

Five-adviser Merrill team managing $280 million joins Stifel
NEWS BROKER DEALERS SEP 15, 2020
Five-adviser Merrill team managing $280 million joins Stifel

The Bonnette group is opening an office for the firm in Audubon, New Jersey

John Galloway to head Vanguard’s stewardship efforts
YOUR PRACTICE PRACTICE MANAGEMENT SEP 15, 2020
John Galloway to head Vanguard’s stewardship efforts

He succeeds veteran Glenn Booraem, who will continue to serve as a senior adviser for the group