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Wells Fargo to pay $385 million in auto insurance scam
NEWS REGULATION AND LEGISLATION JUN 07, 2019
Wells Fargo to pay $385 million in auto insurance scam

According to suit, Wells Fargo customers were "forced to pay for auto insurance they did not need or want."

Study finds 85 percent of advisers use model portfolios
NEWS INDUSTRY NEWS JUN 06, 2019
Study finds 85 percent of advisers use model portfolios

Broadridge found 78% of advisers believe clients care more about planning than outperformance.

Merrill Lynch reps managing $590 million move to Stifel
NEWS INDUSTRY NEWS JUN 06, 2019
Merrill Lynch reps managing $590 million move to Stifel

Two advisers based in Dallas will open office in Frisco, Texas.

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.

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

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.

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

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.

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