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InvestmentNews
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Atria Wealth to acquire Western International Securities
NEWS INDUSTRY NEWS NOV 21, 2019
Atria Wealth to acquire Western International Securities

Pasadena, Calif.-based indie will be fifth B-D under Atria umbrella

Hybrid managing $225 million switches to Commonwealth from LPL
NEWS INDUSTRY NEWS NOV 20, 2019
Hybrid managing $225 million switches to Commonwealth from LPL

BostonPremier Wealth is based in Hanover, Mass.

2 firms managing $455 million in total join Carson Partners
NEWS INDUSTRY NEWS NOV 19, 2019
2 firms managing $455 million in total join Carson Partners

Yuma Investment Group and Diamond Wealth Partners will use tech platform.

Creative Planning acquires $400 million OptiFour
NEWS INDUSTRY NEWS NOV 19, 2019
Creative Planning acquires $400 million OptiFour

Kansas-based RIA expands into Washington, D.C., metro area

Finra bars former Merrill assistant for tapping broker's account
NEWS INDUSTRY NEWS NOV 18, 2019
Finra bars former Merrill assistant for tapping broker's account

Instead of paying her boss's bills, Julie Ann Mineard kept $24,000 of his money.

Wells Fargo team managing $325 million moves to Raymond James
NEWS INDUSTRY NEWS NOV 15, 2019
Wells Fargo team managing $325 million moves to Raymond James

Father-daughter duo, James Alioto and Florence Alioto-Prospero, based in Waukesha, Wis.

Former Eagles linebacker tagged 'six-million-dollar fraud man' once again
NEWS INDUSTRY NEWS NOV 15, 2019
Former Eagles linebacker tagged 'six-million-dollar fraud man' once again

Merrill Robertson Jr., whose 2017 verdict was vacated, found guilty a second time.

RetireOne insurance platform buys EF Legacy Securities
RETIREMENT LIFE INSURANCE AND ANNUITIES NOV 14, 2019
RetireOne insurance platform buys EF Legacy Securities

Edelman Financial Engines sells its Kentucky-based broker-dealer unit.

Finra bars former Raymond James rep discharged over loans
NEWS INDUSTRY NEWS NOV 14, 2019
Finra bars former Raymond James rep discharged over loans

Lance Armstrong was no-show at hearing looking into allegations

Ameriprise duo managing $200 million sets up RIA through Integrated Partners
NEWS INDUSTRY NEWS NOV 13, 2019
Ameriprise duo managing $200 million sets up RIA through Integrated Partners

Homer Smith and Dave Stuehling create Konvergent Wealth Partners in Seattle.