InvestmentNews

InvestmentNews
Displaying 3993 results
Merrill Lynch team managing $400 million moves to Raymond James
NEWS INDUSTRY NEWS APR 23, 2019
Merrill Lynch team managing $400 million moves to Raymond James

Trio in Auburn Hills, Mich., join firm's employee unit.

Finra panel awards $815,000 to National Asset Management client over fiduciary breach
NEWS REGULATION AND LEGISLATION APR 22, 2019
Finra panel awards $815,000 to National Asset Management client over fiduciary breach

But arbitrators said 30% of the fault lies with the 'negligent' claimants.

Mariner to acquire $1.3 billion RIA in Florida
NEWS INDUSTRY NEWS APR 18, 2019
Mariner to acquire $1.3 billion RIA in Florida

Singer Xenos Schechter Sosler, based in Coral Gables, is firm's sixth acquisition this year.

Adviser managing $200 million at SunTrust moves to Raymond James
NEWS INDUSTRY NEWS APR 17, 2019
Adviser managing $200 million at SunTrust moves to Raymond James

Debbie Smith joins employee unit at Buckhead office in Atlanta, Ga.

Finra bars former Aegis broker for churning
NEWS INDUSTRY NEWS APR 17, 2019
Finra bars former Aegis broker for churning

James Schwartz made 256 unauthorized trades in accounts of four clients.

Massachusetts charges adviser with concealing information in marijuana deals
INVESTING ALTERNATIVES APR 17, 2019
Massachusetts charges adviser with concealing information in marijuana deals

Frederick V. McDonald, Jr. allegedly failed to disclose risks and his own conflicts.

SEC's sole Democrat is said to be leaving
NEWS REGULATION AND LEGISLATION APR 17, 2019
SEC's sole Democrat is said to be leaving

Robert Jackson Jr. is expected to join NYU Law School.

InvestmentNews announces 2019 Innovation Awards winners
NEWS RIAS APR 17, 2019
InvestmentNews announces 2019 Innovation Awards winners

Sheryl Garrett is this year's InvestmentNews Icon.

Investigation into LPL broker's eBay business leads to bar
NEWS INDUSTRY NEWS APR 16, 2019
Investigation into LPL broker's eBay business leads to bar

After Renee Altamirano declines to appear at a hearing, Finra bars her.

Rep barred for lying about variable annuity sales practices
NEWS INDUSTRY NEWS APR 15, 2019
Rep barred for lying about variable annuity sales practices

Frederick Holloway impersonated clients and altered documents, Finra says.