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InvestmentNews
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Broker team managing $200 million joins group linked to LPL
NEWS INDUSTRY NEWS MAR 15, 2019
Broker team managing $200 million joins group linked to LPL

Boston-based advisers leave Northwestern Mutual for firm overseen by PAG.

Wedbush to pay $250,000 penalty to settle SEC charges
NEWS REGULATION AND LEGISLATION MAR 14, 2019
Wedbush to pay $250,000 penalty to settle SEC charges

Firm also censured for ignoring 'red flags' of pump-and-dump scheme.

Investment bank launches digital loan platform for advisers
NEWS RIAS MAR 14, 2019
Investment bank launches digital loan platform for advisers

SkyView Partners says 16 banks currently have access to online marketplace.

10 funds with the largest holdings of Boeing
INVESTING MUTUAL FUNDS MAR 14, 2019
10 funds with the largest holdings of Boeing

The aircraft manufacturer has seen its shares fall since two crashes involving its Max 737 planes.

Clients don't trust you? Here's a perfect product to pitch
RETIREMENT LIFE INSURANCE AND ANNUITIES MAR 13, 2019
Clients don't trust you? Here's a perfect product to pitch

Berkley FinSecure says its anti-embezzlement policy is a first.

Super OSJ controlling $175 million in assets moves to Securities America
NEWS INDUSTRY NEWS MAR 12, 2019
Super OSJ controlling $175 million in assets moves to Securities America

Lanzetta Group's 11 advisers formerly were affiliated with Questar Capital.

SEC bars former broker for taking more than $1 million from client accounts
NEWS REGULATION AND LEGISLATION MAR 11, 2019
SEC bars former broker for taking more than $1 million from client accounts

Former Wells Fargo rep John Gregory Schmidt had been barred by Finra.

Former adviser sentenced to two years for lying to clients, SEC
NEWS REGULATION AND LEGISLATION MAR 08, 2019
Former adviser sentenced to two years for lying to clients, SEC

Richard Cody of Jacksonville, Fla., also must pay fine of $30,000.

Arizona credit union's $638 million retail unit switches to Raymond James
NEWS INDUSTRY NEWS MAR 07, 2019
Arizona credit union's $638 million retail unit switches to Raymond James

Desert Financial Wealth Management had been with LPL for 18 years.

Vanguard plans its first actively managed ESG fund
INVESTING ESG MAR 07, 2019
Vanguard plans its first actively managed ESG fund

Managed by Wellington, the fund will include 40 companies and bow midyear.