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SEC settles fraud case with jailed former Morgan Stanley adviser
NEWS REGULATION AND LEGISLATION FEB 22, 2019
SEC settles fraud case with jailed former Morgan Stanley adviser

James Polese has already paid $355,000 in restitution as a result of his criminal case.

Piper Jaffray executive joins Hilltop Securities as CEO
NEWS RIAS FEB 20, 2019
Piper Jaffray executive joins Hilltop Securities as CEO

M. Bradley Winges becomes head of Dallas-based securities firm.

Dynasty Financial Partners moving headquarters to St. Pete, Fla.
NEWS RIAS FEB 19, 2019
Dynasty Financial Partners moving headquarters to St. Pete, Fla.

The firm will maintain offices in New York, Chicago and San Francisco.

Mercer Advisors acquires $350 million Arbor Asset Management
NEWS RIAS FEB 19, 2019
Mercer Advisors acquires $350 million Arbor Asset Management

RIA firm, founded in 1996, is based in Ann Arbor, Mich.

Massachusetts fines United Planners $100,000 in real estate scam case
NEWS INDUSTRY NEWS FEB 19, 2019
Massachusetts fines United Planners $100,000 in real estate scam case

Regulator also fines broker Thomas T. Riquier $50,000 and bars him.

Record $5.2 billion given through Fidelity Charitable in 2018
NEWS INDUSTRY NEWS FEB 15, 2019
Record $5.2 billion given through Fidelity Charitable in 2018

Donor giving was up $700 million from 2017 despite tax uncertainty.

Former Merrill Lynch star broker Thomas Buck sentenced to 40 months in prison
NEWS REGULATION AND LEGISLATION FEB 14, 2019
Former Merrill Lynch star broker Thomas Buck sentenced to 40 months in prison

He pleaded guilty to securities fraud in 2017; charged clients excessive commissions.

Memphis-based RIA managing $2.6 billion joins HighTower
NEWS RIAS FEB 14, 2019
Memphis-based RIA managing $2.6 billion joins HighTower

Green Square Wealth Management was formed earlier this year.

Long Island hybrid managing $250 million switches to LPL from Royal Alliance
NEWS INDUSTRY NEWS FEB 14, 2019
Long Island hybrid managing $250 million switches to LPL from Royal Alliance

Strategic Financial is based in Hauppauge, N.Y.

Blogger Josh Brown and Ritholtz firm to hold adviser conference
YOUR PRACTICE FINTECH FEB 13, 2019
Blogger Josh Brown and Ritholtz firm to hold adviser conference

Wealth/Stack will cover technology and investing.