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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.

SEC slaps Jefferies with $1.25 million penalty over ADRs
NEWS REGULATION AND LEGISLATION DEC 09, 2019
SEC slaps Jefferies with $1.25 million penalty over ADRs

Agency says firm improperly borrowed securities from other brokers

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.

Stop coming up with ideas to raid retirement savings
RETIREMENT RETIREMENT PLANNING DEC 07, 2019
Stop coming up with ideas to raid retirement savings

Let's call out these plans for what they are

SEC seeks jury trial in case against operator of phony GIC scheme
NEWS REGULATION AND LEGISLATION DEC 05, 2019
SEC seeks jury trial in case against operator of phony GIC scheme

Agency wants Lester Burroughs, a rep at Lincoln Investment Planning, to disgorge gains.

Duo managing $330 million moves to Raymond James from Wells Fargo
NEWS INDUSTRY NEWS DEC 05, 2019
Duo managing $330 million moves to Raymond James from Wells Fargo

Todd Hamilton and Robert Thompson join firm's employee unit in Chicago.

'Text me,' say clients, but many B-Ds don't allow it
NEWS INDUSTRY NEWS DEC 05, 2019
'Text me,' say clients, but many B-Ds don't allow it

Almost nine out of 10 advisers believe clients want to text, Redtail survey finds.

Creative Planning to acquire $300M RIA
NEWS INDUSTRY NEWS DEC 03, 2019
Creative Planning to acquire $300M RIA

Creative Planning to acquire $300 million Hogan Financial Firm founded by Paula Hogan is based in Milwaukee, Wis.

Adam Antoniades promoted to CEO of Cetera
NEWS INDUSTRY NEWS DEC 03, 2019
Adam Antoniades promoted to CEO of Cetera

Takes reins from chairman and interim CEO Ben Brigeman.