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NEWS INDUSTRY NEWS DEC 17, 2019
Finra, exchanges bar Samuel Lek for faulty supervision

Eponymous firm provided market access to foreign investors engaging in manipulation.

Remembering Don Marron, consummate dealmaker
NEWS INDUSTRY NEWS DEC 14, 2019
Remembering Don Marron, consummate dealmaker

With an eye for the future, Mr. Marron kept making deals well into his 80s.

Detroit-area team managing $500 million shifts to LPL
NEWS INDUSTRY NEWS DEC 12, 2019
Detroit-area team managing $500 million shifts to LPL

Father-daughter team at Herbert Financial Group specializes in serving auto executives.

Investors don't know much about investment basics, Finra finds
NEWS INDUSTRY NEWS DEC 12, 2019
Investors don't know much about investment basics, Finra finds

Regulator's Investor Education Foundation survey reveals little knowledge of key concepts.

RIAs bite their nails when deciding to sell the firm
NEWS INDUSTRY NEWS DEC 11, 2019
RIAs bite their nails when deciding to sell the firm

Seventy percent experience anxiety over the decision, HighTower study finds.

Wentworth acquires hybrid managing $2.7 billion
NEWS INDUSTRY NEWS DEC 11, 2019
Wentworth acquires hybrid managing $2.7 billion

Aurora Private Wealth is based in Rockaway, N.J.

Pennsylvania RIA acquires $200 million RIA
NEWS INDUSTRY NEWS DEC 11, 2019
Pennsylvania RIA acquires $200 million RIA

EHD Advisory Services was formerly affiliated with EHD Insurance in Lancaster, Pa.

Mercer acquires $230 million wealth management firm
NEWS INDUSTRY NEWS DEC 10, 2019
Mercer acquires $230 million wealth management firm

Houston-based Republic Wealth Advisors will add to Mercer's presence in Texas.

Indie managing $270 million moves to Cetera from LPL
NEWS INDUSTRY NEWS DEC 10, 2019
Indie managing $270 million moves to Cetera from LPL

HMC Partners is based in Greensboro, N.C.

Morgan Stanley lays off approximately 1,500 workers
NEWS INDUSTRY NEWS DEC 09, 2019
Morgan Stanley lays off approximately 1,500 workers

The job cuts, mostly in tech and operations, are part of a year-end efficiency push.