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Finra fines rep for borrowing $150,000 from 90-year-old customer
RETIREMENT RETIREMENT PLANNING JAN 29, 2020
Finra fines rep for borrowing $150,000 from 90-year-old customer

Kerry Wills also accepted $19,500 in luxury travel gifts he didn’t disclose

Former Miami Dolphin affiliates with Associated Financial
YOUR PRACTICE PRACTICE MANAGEMENT JAN 29, 2020
Former Miami Dolphin affiliates with Associated Financial

Shawn Wooden, along with Travis Ruane, managed $125 million at Principal

Her Mentorship Matters: Mom as mentor?
YOUR PRACTICE WOMEN ADVISOR COMMUNITY JAN 28, 2020
Her Mentorship Matters: Mom as mentor?

InvestmentNews asks a mother-daughter pair of Merrill Lynch advisers what it’s like to have your mom as your mentor

Mercer acquires $350 million First Ohio Planning
NEWS RIAS JAN 28, 2020
Mercer acquires $350 million First Ohio Planning

RIA based in Columbus, Ohio, serves 280 households with staff of five

January 27, 2020
DIGITAL ARCHIVE JAN 27, 2020
January 27, 2020

Perigon, RLP merge to create $1.8 billion RIA
NEWS RIAS JAN 27, 2020
Perigon, RLP merge to create $1.8 billion RIA

The combined firm, headquartered in San Francisco, will operate under the Perigon name

New podcast: Her Mentorship Matters
YOUR PRACTICE WOMEN ADVISOR COMMUNITY JAN 27, 2020
New podcast: Her Mentorship Matters

Join InvestmentNews' Liz Skinner and Audrey Rose Joseph as they ask a mentor-mentee pair who gets the most out of their mentoring relationship

Keep sweep accounts clean and transparent
INVESTING MUTUAL FUNDS JAN 27, 2020
Keep sweep accounts clean and transparent

Idle cash is a significant profit center for broker-dealers

Adviser managing $350 million at Wells Fargo moves to Stifel
NEWS BROKER DEALERS JAN 24, 2020
Adviser managing $350 million at Wells Fargo moves to Stifel

Randy Seymour will open an office for the firm in Ebensburg, Pa.

Investors in alleged Ponzi scheme to receive $63 million
NEWS REGULATION AND LEGISLATION JAN 24, 2020
Investors in alleged Ponzi scheme to receive $63 million

The SEC obtains an order to return funds to more than 200 investors