InvestmentNews

InvestmentNews
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SEC bars broker connected to Dawn Bennett scam
NEWS REGULATION AND LEGISLATION JAN 08, 2020
SEC bars broker connected to Dawn Bennett scam

Bradley Mascho, formerly with Western International Securities, agrees he abetted fraud

Finra bars two no-show brokers
NEWS REGULATION AND LEGISLATION JAN 07, 2020
Finra bars two no-show brokers

Shlomo Strugano and John Chrysadakis allegedly falsified documents

Blucora to acquire $4.4 billion RIA based in Iowa
NEWS RIAS JAN 07, 2020
Blucora to acquire $4.4 billion RIA based in Iowa

Parent of the former HD Vest specializes in tax-oriented wealth management

Franklin Templeton unit to acquire $6 billion Athena Capital Advisors
NEWS RIAS JAN 07, 2020
Franklin Templeton unit to acquire $6 billion Athena Capital Advisors

Massachusetts-based RIA will become part of Fiduciary Trust Co. International

January 6, 2020
DIGITAL ARCHIVE JAN 06, 2020
January 6, 2020

Mass Mutual team managing $460 million affiliates with LPL
NEWS INDUSTRY NEWS JAN 06, 2020
Mass Mutual team managing $460 million affiliates with LPL

Twenty-Four Wealth Management will also use Stratos Wealth Partners

Judge throws out suit that aimed to block Schwab acquisition
NEWS REGULATION AND LEGISLATION JAN 03, 2020
Judge throws out suit that aimed to block Schwab acquisition

RIA BlackCrown violated procedure by filing antitrust lawsuit without attorney

Finra slaps Cambridge with $150,000 fine over UIT sales
NEWS REGULATION AND LEGISLATION JAN 02, 2020
Finra slaps Cambridge with $150,000 fine over UIT sales

Also censures firm, again, for not paying discounts to eligible customers

Almost 8 in 10 millennial investors put ESG first
NEWS INDUSTRY NEWS JAN 02, 2020
Almost 8 in 10 millennial investors put ESG first

Global study found 77% of this age group consider environmental, social and governance concerns more important than returns

Small RIA challenges Schwab’s TD Ameritrade acquisition
NEWS RIAS JAN 02, 2020
Small RIA challenges Schwab’s TD Ameritrade acquisition

New York’s BlackCrown files antitrust suit saying deal would decimate small firms