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NEWS INDUSTRY NEWS NOV 06, 2019
Wells Fargo adviser managing $300 million sets up RIA

David Mattern launches Mattern Wealth Management in Lawrence, Kan.

New Jersey revokes registration of First Standard Financial over churning
NEWS INDUSTRY NEWS NOV 05, 2019
New Jersey revokes registration of First Standard Financial over churning

Regulators freeze assets and ask court to order restitution for harmed customers.

Merrill duo managing $241 million goes indie with Raymond James
NEWS INDUSTRY NEWS NOV 05, 2019
Merrill duo managing $241 million goes indie with Raymond James

Jimmy Blackburn, Reed Potter Jr. form Legacy Financial Investment Services in Pikeville, Ky.

Having the tough talk about retirement health care costs
NEWS INDUSTRY NEWS NOV 02, 2019
Having the tough talk about retirement health care costs

Health care costs weigh heavily on investors' minds.

Texas RIA orders $366,218 refill to coffee shop investors
NEWS INDUSTRY NEWS NOV 01, 2019
Texas RIA orders $366,218 refill to coffee shop investors

Jason Hyson LeBlanc sold promissory notes while working for Girard Securities.

Volatility expected to rise in 2020, say ultrahigh-net-worth investors
NEWS INDUSTRY NEWS NOV 01, 2019
Volatility expected to rise in 2020, say ultrahigh-net-worth investors

Nationwide study finds one-quarter of wealthy investors don't use an adviser.

UBS broker duo managing $1.4 billion at UBS sets up RIA business
NEWS INDUSTRY NEWS OCT 31, 2019
UBS broker duo managing $1.4 billion at UBS sets up RIA business

Terry Cook, Kyle Caouette and 11-person team form Parcion Private Wealth in Seattle area

SEC bars ex-compliance officer of Idaho RIA over wire fraud
NEWS REGULATION AND LEGISLATION OCT 31, 2019
SEC bars ex-compliance officer of Idaho RIA over wire fraud

Agency alleges Cameron High participated in the $11 million overbilling of clients.

Finra slaps $20,000 fine on former JMP Securities analyst
NEWS INDUSTRY NEWS OCT 31, 2019
Finra slaps $20,000 fine on former JMP Securities analyst

Michael King Jr. wrote research reports on the company offering him a job.

Hybrid firm managing $1 billion switches to Commonwealth from Securian
NEWS INDUSTRY NEWS OCT 31, 2019
Hybrid firm managing $1 billion switches to Commonwealth from Securian

Pennsylvania-based Legacy Planning Partners has four partners and 30 advisers and staff