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Here's to a profession as old as Woodstock
NEWS INDUSTRY NEWS SEP 14, 2019
Here's to a profession as old as Woodstock

Financial planning has helped improve the lives of Americans.

401(k) court ruling could hurt retirement savers
NEWS REGULATION AND LEGISLATION SEP 07, 2019
401(k) court ruling could hurt retirement savers

A recent decision by the 9th U.S. Circuit Court of Appeals allows Charles Schwab Corp. to force its employees to arbitrate disputes about the company's 401(k) plan.

Mercer acquires $100 million Albuquerque-based RIA
NEWS RIAS SEP 05, 2019
Mercer acquires $100 million Albuquerque-based RIA

Sage Future Financial marks Mercer's move into New Mexico.

Former Morgan Stanley, Wells Fargo rep pleads guilty to adviser fraud
NEWS REGULATION AND LEGISLATION SEP 05, 2019
Former Morgan Stanley, Wells Fargo rep pleads guilty to adviser fraud

Elias Hafen stole 'hundreds of thousands of dollars' from clients.

Massachusetts fines broker $225,000 over UIT trades
NEWS REGULATION AND LEGISLATION SEP 05, 2019
Massachusetts fines broker $225,000 over UIT trades

Improper trading practices resulted in losses for investors, says regulator.

Barred California adviser to pay $181,000 over investment fund conflicts
NEWS REGULATION AND LEGISLATION SEP 05, 2019
Barred California adviser to pay $181,000 over investment fund conflicts

Mitchell Friedman failed to disclose how he profited from funding arrangements.

SEC censures, penalizes Utah hybrid $150,000 for improper alts sales
INVESTING ALTERNATIVES SEP 04, 2019
SEC censures, penalizes Utah hybrid $150,000 for improper alts sales

Lefavi Wealth Management acknowledges receiving 7% commissions on top of fees.

SunTrust adviser managing $184 million goes indie with Raymond James
NEWS RIAS SEP 03, 2019
SunTrust adviser managing $184 million goes indie with Raymond James

Evan Mayer opens The Mayer Group in Boca Raton, Fla.

Nominate an amazing woman for the Women to Watch Awards
YOUR PRACTICE WOMEN ADVISOR COMMUNITY SEP 02, 2019
Nominate an amazing woman for the Women to Watch Awards

Next Monday is the deadline for nominations for InvestmentNews' 2020 awards recognizing female advisers and industry leaders who are advancing the advice business. Nominate an amazing woman today!

D&I Rising Stars
YOUR PRACTICE PRACTICE MANAGEMENT SEP 02, 2019
D&I Rising Stars

These Excellence in Diversity & Inclusion award winners are in the early stages of their career, but have already contributed to the success and diversity of the profession