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ESG funds saw inflows in first quarter
INVESTING ESG MAY 08, 2020
ESG funds saw inflows in first quarter

That compares with the outflows registered by mutual funds overall, according to Morningstar

10 IBDs with the most female reps
NEWS BROKER DEALERS MAY 07, 2020
10 IBDs with the most female reps

These independent broker-dealers have the highest percentages of female producing reps

By the Numbers: Annuity sales
RETIREMENT LIFE INSURANCE AND ANNUITIES MAY 06, 2020
By the Numbers: Annuity sales

InvestmentNews Chief Content Officer George Moriarty talks about how annuity sales fared during the first quarter

3 Questions: Captrust supporting vulnerable communities
NEWS INDUSTRY NEWS MAY 06, 2020
3 Questions: Captrust supporting vulnerable communities

Tiffany Larew describes how the firm's employees raised $145,000 to aid U.S. nonprofits helping those most hurt by pandemic's fallout

Rep fined $5,000 for cheating on Series 24 exam
NEWS REGULATION AND LEGISLATION MAY 06, 2020
Rep fined $5,000 for cheating on Series 24 exam

Spencer Sullivant, a former Waddell & Reed rep, was also suspended for 18 months

LPL snags another Securities America team
NEWS BROKER DEALERS MAY 06, 2020
LPL snags another Securities America team

The move by Winston Wealth, a hybrid managing $300 million, follows a similar shift last week by JFC Financial

3 Questions: Christine Shaw on the evolution of InvestmentNews
NEWS INDUSTRY NEWS MAY 05, 2020
3 Questions: Christine Shaw on the evolution of InvestmentNews

InvestmentNews' CEO talks about how InvestmentNews has used technology to better engage advisers during this unique time

Finra fines former LPL rep for trading away
YOUR PRACTICE PRACTICE MANAGEMENT MAY 05, 2020
Finra fines former LPL rep for trading away

Michael Mountjoy was also suspended for six months by the regulator

3 Questions: Creative cards for lonely clients
YOUR PRACTICE PRACTICE MANAGEMENT MAY 05, 2020
3 Questions: Creative cards for lonely clients

Kristen Lucas is sending hand-drawn cards from her daughter to Luma Wealth clients who are living alone in quarantine

Finra censures, fines Dawn Bennett’s former firm
YOUR PRACTICE PRACTICE MANAGEMENT MAY 05, 2020
Finra censures, fines Dawn Bennett’s former firm

Western International will pay $325,000 and have its compliance methods reviewed