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Wells Fargo reps managing $587 million go indie with Raymond James
NEWS INDUSTRY NEWS JUN 14, 2019
Wells Fargo reps managing $587 million go indie with Raymond James

Four who also advise on $385 million in institutional assets set up shop in Dallas, Texas.

Finra fines former Merrill rep $5,000 over outside crypto trading
YOUR PRACTICE FINTECH JUN 14, 2019
Finra fines former Merrill rep $5,000 over outside crypto trading

Kyung Soo Kim, no longer employed in industry, also suspended for one month.

Finra bars no-show former Cetera rep
NEWS INDUSTRY NEWS JUN 12, 2019
Finra bars no-show former Cetera rep

Nina Jessee was being investigated for complaints about alternative investments and outside business activity.

Reps managing $319 million move to Raymond James
NEWS INDUSTRY NEWS JUN 12, 2019
Reps managing $319 million move to Raymond James

Daniel Nickow and Brett Salzer join employee unit in Deerfield, Ill.

Finra bars former UBS rep involved in trading away investigation
NEWS INDUSTRY NEWS JUN 12, 2019
Finra bars former UBS rep involved in trading away investigation

Nicolas Barrios refused to take part in inquiry over private company he founded.

Tax reform changed the way advisers promote charitable giving, Fidelity survey says
NEWS INDUSTRY NEWS JUN 12, 2019
Tax reform changed the way advisers promote charitable giving, Fidelity survey says

The portion of clients with whom advisers discussed giving has risen to 58% from 46% in 2015, fidelity survey shows

Finra bars former head of B-D over money-laundering lapses
NEWS REGULATION AND LEGISLATION JUN 12, 2019
Finra bars former head of B-D over money-laundering lapses

Donna Jean Flemming failed to implement adequate AML program, regulator says

Vanguard study finds employers, employees improving retirement plan behaviors
RETIREMENT RETIREMENT PLANNING JUN 11, 2019
Vanguard study finds employers, employees improving retirement plan behaviors

Automatic enrollment now standard at 48% of company's plans, up from 20% a decade ago.

Texas suspends one adviser, orders second to repay commissions
NEWS REGULATION AND LEGISLATION JUN 10, 2019
Texas suspends one adviser, orders second to repay commissions

Mark Trewitt sold private fund that collapsed; Clair Crossland sold risky investments

Finra bars former LPL rep for non-cooperation
NEWS REGULATION AND LEGISLATION JUN 07, 2019
Finra bars former LPL rep for non-cooperation

Jason Nelson refused to take part in annuity sale inquiry.