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InvestmentNews
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Merrill Lynch settles with SEC over ADR trading abuses
NEWS REGULATION AND LEGISLATION MAR 22, 2019
Merrill Lynch settles with SEC over ADR trading abuses

Firm will pay more than $8 million for mishandling 'pre-released' ADRs.

Hybrid managing $459 million switches to Securities America from Ameriprise
NEWS INDUSTRY NEWS MAR 22, 2019
Hybrid managing $459 million switches to Securities America from Ameriprise

Syntegra Private Wealth Group has three offices in the St. Louis, Mo., area.

5 tips for people who don't have the money to pay their tax bill
RETIREMENT TAX MAR 21, 2019
5 tips for people who don't have the money to pay their tax bill

Do file your return, even if you can't afford to pay what you owe.

Adviser managing $230 million at Merrill Lynch moves to Alex. Brown
NEWS INDUSTRY NEWS MAR 21, 2019
Adviser managing $230 million at Merrill Lynch moves to Alex. Brown

Jon Dayton will join office of Raymond James unit in San Francisco.

Advisers charged with 'gambling away' millions from clients
NEWS REGULATION AND LEGISLATION MAR 20, 2019
Advisers charged with 'gambling away' millions from clients

Oakdale Wealth Management's James Daly and Michael O'Keeffe of Massachusetts may be fined and censured.

Captrust acquires two firms and $2.9 billion in AUM
NEWS INDUSTRY NEWS MAR 19, 2019
Captrust acquires two firms and $2.9 billion in AUM

Watermark in California caters to individuals; Rogers in Virginia focuses on retirement plans.

Janney acquires FIG Partners of Atlanta
NEWS INDUSTRY NEWS MAR 19, 2019
Janney acquires FIG Partners of Atlanta

Acquisition adds strength in community bank deals.

Cresset Asset Management acquires $500 million RIA
NEWS INDUSTRY NEWS MAR 19, 2019
Cresset Asset Management acquires $500 million RIA

Evanston Advisors increases firm's market share in Chicago area.

Florida RIA managing $1 billion joins The Colony Group
NEWS INDUSTRY NEWS MAR 18, 2019
Florida RIA managing $1 billion joins The Colony Group

Steinberg Global Asset Management brings Colony's AUM to $7 billion

Former JPMorgan adviser starts $250 million RIA
NEWS INDUSTRY NEWS MAR 18, 2019
Former JPMorgan adviser starts $250 million RIA

Andrew Graham launches Jackson Square Capital in San Francisco.