InvestmentNews

InvestmentNews
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NEWS INDUSTRY NEWS OCT 24, 2019
TD Ameritrade adds ESG portfolios to 529 plan

Firm's Nebraska plan is available nationally.

NEWS INDUSTRY NEWS OCT 24, 2019
Finra fines BNP Paribas $15 million for AML violations

Fine also covers supervisory failures involving penny stocks.

NEWS INDUSTRY NEWS OCT 24, 2019
Finra fines former Merrill top broker $15,000 over falsified CE

Bruce Lee also suspended for 18 months

Barred former LPL rep pleads guilty to $5 million fraud
NEWS INDUSTRY NEWS OCT 23, 2019
Barred former LPL rep pleads guilty to $5 million fraud

James Booth of Norwalk, Conn., faces 20 years in prison.

Finra fines former rep $25,000 over unauthorized trades at two firms
NEWS INDUSTRY NEWS OCT 23, 2019
Finra fines former rep $25,000 over unauthorized trades at two firms

Steven Yellen's trading at Morgan Stanley, Ameriprise violated rules, Finra rules.

Juncture Wealth Strategies team joining Integrated Partners
NEWS INDUSTRY NEWS OCT 23, 2019
Juncture Wealth Strategies team joining Integrated Partners

Juncture, with $200 million in AUM, is unwinding and the adviser team will work for Integrated Partners as IARs.

NEWS REGULATION AND LEGISLATION OCT 23, 2019
Barred former LPL rep pleads guilty to $5 million fraud

James Booth of Norwalk, Conn., faces 20 years in prison.

Merrill Lynch trio managing $256 million moves to Ameriprise
NEWS INDUSTRY NEWS OCT 22, 2019
Merrill Lynch trio managing $256 million moves to Ameriprise

Craig Stiles, Gregory Miller and Nathan Clark join employee unit in Lansing, Mich.

Three Wells Fargo reps managing $150 million move to Raymond James
NEWS INDUSTRY NEWS OCT 22, 2019
Three Wells Fargo reps managing $150 million move to Raymond James

Roper Fields, Thomas Fields and B.V. Lawson join employee unit in Cool Springs, Tenn.

NEWS INDUSTRY NEWS OCT 22, 2019
Merrill Lynch trio managing $256 million moves to Ameriprise

Craig Stiles, Gregory Miller and Nathan Clark join employee unit in Lansing, Mich.