InvestmentNews

InvestmentNews
Displaying 3993 results
Texas adviser managing $341.5 million becomes RIA
NEWS RIAS APR 15, 2019
Texas adviser managing $341.5 million becomes RIA

Former employee rep Robert Harrell II will use Raymond James as custodian

Woodbridge Group execs charged with criminal fraud in Ponzi scheme
NEWS REGULATION AND LEGISLATION APR 12, 2019
Woodbridge Group execs charged with criminal fraud in Ponzi scheme

Former CEO Robert H. Shapiro and two others were arrested in connection with investment scheme that SEC claims defrauded 8,400 investors.

SEC bars former Ohio rep imprisoned for fraud, theft
NEWS REGULATION AND LEGISLATION APR 11, 2019
SEC bars former Ohio rep imprisoned for fraud, theft

Martin Stancik, with Voya until 2014, is currently serving 65-month term.

Three Wells Fargo reps managing $240 million go indie with Raymond James
NEWS RIAS APR 10, 2019
Three Wells Fargo reps managing $240 million go indie with Raymond James

Team of three sets up shop in Corpus Christi, Texas, as Coastal Bend Wealth Partners.

Cetera to acquire assets of Foresters Financial's U.S. advisory business
NEWS INDUSTRY NEWS APR 09, 2019
Cetera to acquire assets of Foresters Financial's U.S. advisory business

Some 500 affiliates of the brokerage/investment advisory business could join Cetera.

Finra bars former LPL broker over possible loans from clients
NEWS REGULATION AND LEGISLATION APR 08, 2019
Finra bars former LPL broker over possible loans from clients

James Bylenga declined to take part in an inquiry into his conduct.

A disruptive force no one is talking about ...
YOUR PRACTICE FINTECH APR 08, 2019
A disruptive force no one is talking about ...

These are the business concerns that advisers should be planning for now

Finra fines former LPL rep $5,000 over viatical sale
RETIREMENT LIFE INSURANCE AND ANNUITIES APR 05, 2019
Finra fines former LPL rep $5,000 over viatical sale

LPL terminated Scott Klor in 2017 for violating firm policies.

Stifel adds wirehouse teams managing $1.1 billion in assets
NEWS INDUSTRY NEWS APR 05, 2019
Stifel adds wirehouse teams managing $1.1 billion in assets

Nine reps, from Merrill Lynch, Raymond James and Wells Fargo, join firm.

'Advice' is changing due to client awareness of fees
YOUR PRACTICE PRACTICE MANAGEMENT APR 04, 2019
'Advice' is changing due to client awareness of fees

Cerulli study says advisers have to pay attention to other aspects of client engagement.