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$700 million firm founded during Depression joins Pennsylvania-based B-D
NEWS INDUSTRY NEWS AUG 05, 2019
$700 million firm founded during Depression joins Pennsylvania-based B-D

End of an era: Sweney Cartwright will operate as the Columbus, Ohio, branch office of Boenning & Scattergood Inc.

Finra bars former Edward Jones rep involved in expense investigation
NEWS INDUSTRY NEWS AUG 02, 2019
Finra bars former Edward Jones rep involved in expense investigation

Beth Hamilton refused to appear at a hearing looking into inaccurate reimbursements.

Former Fidelity broker barred over expense falsification
NEWS REGULATION AND LEGISLATION AUG 02, 2019
Former Fidelity broker barred over expense falsification

Orlando Vargas was reimbursed for computer equipment he never bought.

Hybrid managing $180 million switches from Ameriprise to LPL
NEWS INDUSTRY NEWS AUG 01, 2019
Hybrid managing $180 million switches from Ameriprise to LPL

Signet Strategic Wealth Management is based in Westlake Village, Calif.

New York RIA head sentenced to 13 years for Ponzi scheme
NEWS RIAS AUG 01, 2019
New York RIA head sentenced to 13 years for Ponzi scheme

Court also orders Hector May to pay $8.4 million in restitution.

Morgan Stanley duo managing $252 million moves to Raymond James
NEWS INDUSTRY NEWS JUL 31, 2019
Morgan Stanley duo managing $252 million moves to Raymond James

Matthew Pruitt and Matthew Fisher join employee unit in Doylestown, Pa.

Former Morgan Stanley broker fined $5,000 over client settlement
NEWS REGULATION AND LEGISLATION JUL 31, 2019
Former Morgan Stanley broker fined $5,000 over client settlement

Eric Nichols didn't tell firm he paid $28,000 to settle a customer's complaint.

Acquisition consolidates players in retirement record keeping
NEWS INDUSTRY NEWS JUL 31, 2019
Acquisition consolidates players in retirement record keeping

PCS Retirement acquires Aspire Financial Services

Median age of RIA firm principals now 49, down from 52
NEWS RIAS JUL 31, 2019
Median age of RIA firm principals now 49, down from 52

TD Ameritrade study finds lead advisers and associates also getting younger.

Leveraged and inverse ETFs may be too risky to sell, says state regulator group
INVESTING MUTUAL FUNDS JUL 31, 2019
Leveraged and inverse ETFs may be too risky to sell, says state regulator group

North American Securities Administrators Association sees room for improvement in supervision.