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On the record
INVESTING MUTUAL FUNDS JUN 17, 2020
On the record

InvestmentNews’ Jeff Benjamin leads a roundtable discussion with mutual fund managers who forecast unrest through 2020

Edward Jones contributes $1.2 million to civil rights groups
NEWS BROKER DEALERS JUN 16, 2020
Edward Jones contributes $1.2 million to civil rights groups

The company also announced a five-part plan to address racism, which includes an analysis of home office employees' pay

$200 million unit at Wisconsin bank moves to LPL from MassMutual
NEWS BROKER DEALERS JUN 16, 2020
$200 million unit at Wisconsin bank moves to LPL from MassMutual

Summit Street operates in 14 branches of Oconomowoc’s Bank Five Nine

Adviser managing $1.2 billion at UBS forms RIA
NEWS RIAS JUN 16, 2020
Adviser managing $1.2 billion at UBS forms RIA

Matt Kilgroe’s Cyndeo Wealth Partners is based in St. Petersburg, Fla.

NEWS INDUSTRY NEWS JUN 15, 2020
Jay Clayton’s legacy as SEC chairman, broker pay cuts and the quirky investigation of a lawyer

The second weekly episode of the InvestmentNews Podcast with senior columnists Jeff Benjamin and Bruce Kelly

Small broker-dealers are facing a dilemma
NEWS OPINION JUN 14, 2020
Small broker-dealers are facing a dilemma

B-Ds must ask themselves whether they’re in the advice or the sales business

Alliance for Lifetime Income sponsors Rolling Stones ‘tour’
RETIREMENT LIFE INSURANCE AND ANNUITIES JUN 12, 2020
Alliance for Lifetime Income sponsors Rolling Stones ‘tour’

The radio special, which will be broadcast on stations in six cities, will raise money for pandemic relief efforts

Finra bars former J.P. Morgan bank rep for stealing
NEWS REGULATION AND LEGISLATION JUN 12, 2020
Finra bars former J.P. Morgan bank rep for stealing

David Austin took $144,000 from three customers for his personal use

Trio managing $350 million at Merrill moves to Raymond James
NEWS BROKER DEALERS JUN 11, 2020
Trio managing $350 million at Merrill moves to Raymond James

Team joins employee unit of hometown firm in St. Petersburg, Fla.

SagePoint censured and fined $300,000 over UITs
NEWS BROKER DEALERS JUN 11, 2020
SagePoint censured and fined $300,000 over UITs

Finra says the Advisor Group unit failed to supervise early rollovers of unit investment trusts