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Morgan Stanley team managing $345 million moves to Stifel
NEWS INDUSTRY NEWS AUG 23, 2019
Morgan Stanley team managing $345 million moves to Stifel

Five-advisor Huggins Winders Group joins firm in Tallahassee, Fla.

Fixed indexed annuity sales rise 14% to $20 billion in second quarter
RETIREMENT LIFE INSURANCE AND ANNUITIES AUG 21, 2019
Fixed indexed annuity sales rise 14% to $20 billion in second quarter

Limra Secure Retirement Institute data finds VA sales stopped declining.

California-based RIA acquires $200 million RIA
NEWS RIAS AUG 21, 2019
California-based RIA acquires $200 million RIA

Personal Financial Consultants adds $200 million in assets to $4.4 billion EP Wealth Advisors

HighTower makes 'significant' investment in Lexington, Mass.-based RIA
NEWS RIAS AUG 20, 2019
HighTower makes 'significant' investment in Lexington, Mass.-based RIA

Lexington Wealth Management advises on $1 billion in assets and has 11 advisers.

Insurgent Chris Flint wins contested Finra election for big-firm board seat
NEWS REGULATION AND LEGISLATION AUG 19, 2019
Insurgent Chris Flint wins contested Finra election for big-firm board seat

Linde Murphy wins small-firm board seat that was also subject of contested election.

Merrill Lynch trio managing $260 million moves to Raymond James
NEWS INDUSTRY NEWS AUG 16, 2019
Merrill Lynch trio managing $260 million moves to Raymond James

Veteran advisers join employee unit in Virginia Beach, Va.

SEC charges California RIA with defrauding clients
NEWS RIAS AUG 15, 2019
SEC charges California RIA with defrauding clients

Craig Rumbaugh and his firms secretly received 5% commission on $3 million invested by clients.

SEC wins trial against former broker on insider trading charges
NEWS REGULATION AND LEGISLATION AUG 15, 2019
SEC wins trial against former broker on insider trading charges

Raymond J. Pirrello Jr. part of group that shared illicit trading profits

Long Island hybrid managing $160 million switches to LPL
NEWS INDUSTRY NEWS AUG 15, 2019
Long Island hybrid managing $160 million switches to LPL

Blue Line Wealth Management of Brentwood, N.Y., specializes in serving police officers.

Finra bars another former broker over phony expenses
NEWS INDUSTRY NEWS AUG 15, 2019
Finra bars another former broker over phony expenses

Brenda Kochel received $24,000 from Park Avenue Securities for fake travel expenses.