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Advisers managing $185 million at Waddell & Reed go indie with LPL
NEWS INDUSTRY NEWS JUN 05, 2019
Advisers managing $185 million at Waddell & Reed go indie with LPL

Three principals form Teton Wealth Management in Idaho Falls, Idaho

Four-rep team managing $350 million at Merrill Lynch joins Janney
NEWS INDUSTRY NEWS JUN 05, 2019
Four-rep team managing $350 million at Merrill Lynch joins Janney

The eight-person Gansler Group is based in Greenville, Del.

ETFs now used by 88% of advisers, FPA survey finds
YOUR PRACTICE FINTECH JUN 04, 2019
ETFs now used by 88% of advisers, FPA survey finds

Clients interested in marijuana/cannabis stocks, cryptocurrencies and ESG/socially responsible investing

Finra bars no-show former Ameritas adviser
NEWS REGULATION AND LEGISLATION JUN 04, 2019
Finra bars no-show former Ameritas adviser

James Anderson declined to answer questions about selling away.

SEC orders Pennsylvania Ponzi operator to disgorge $1.5 million
NEWS REGULATION AND LEGISLATION JUN 04, 2019
SEC orders Pennsylvania Ponzi operator to disgorge $1.5 million

Insurance agent James Hocker promised investors returns of 30%, but kept the money.

Adviser duo managing $181 million at Raymond James joins B. Riley
NEWS INDUSTRY NEWS JUN 03, 2019
Adviser duo managing $181 million at Raymond James joins B. Riley

Michael McCall and Michael Connelly open office in Devon, Pa.

Team managing $571 million at Merrill Lynch moves to Stifel
NEWS INDUSTRY NEWS MAY 31, 2019
Team managing $571 million at Merrill Lynch moves to Stifel

Two-rep, five-person group joins firm in Sugar Land, Texas.

One adviser from UBS and two from Merrill Lynch move to Raymond James
NEWS INDUSTRY NEWS MAY 31, 2019
One adviser from UBS and two from Merrill Lynch move to Raymond James

The number of assets managed by each adviser ranges from $137 to $190 million

Study: Fees down, quality up in 529 plans
NEWS INDUSTRY NEWS MAY 29, 2019
Study: Fees down, quality up in 529 plans

Morningstar's annual look at education plans finds total assets unchanged in 2018.

Finra bars former Commonwealth rep for non-cooperation
NEWS REGULATION AND LEGISLATION MAY 28, 2019
Finra bars former Commonwealth rep for non-cooperation

Benjamin Bourgeois Jr. failed to give regulator information for its investigation.