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Finra bars former Morgan Stanley rep who hid client gift
NEWS REGULATION AND LEGISLATION FEB 12, 2019
Finra bars former Morgan Stanley rep who hid client gift

Martin Kirschner fails to take part in hearing looking into case.

Wells Fargo rep managing $500 million in Denver joins firm's RIA channel
NEWS RIAS FEB 12, 2019
Wells Fargo rep managing $500 million in Denver joins firm's RIA channel

Mattern Capital Management will custody with First Clearing, the operations arm of Wells Fargo.

Team managing $314 million leaves UBS for Ameriprise
NEWS INDUSTRY NEWS FEB 12, 2019
Team managing $314 million leaves UBS for Ameriprise

Four-adviser Vilfordi team joins employee arm in Dallas, Texas

Finra bars former Merrill Lynch rep over falsified daycare expenses
NEWS INDUSTRY NEWS FEB 11, 2019
Finra bars former Merrill Lynch rep over falsified daycare expenses

Elizabeth Garcia was reimbursed for $9,015 she hadn't spent.

Finra bars rep for scamming Fidelity on computer purchases
NEWS INDUSTRY NEWS FEB 08, 2019
Finra bars rep for scamming Fidelity on computer purchases

Kitwana Thomas took advantage of employee-reimbursement program.

Fidelity adds bond, multi-asset choices to model portfolios
INVESTING FIXED INCOME FEB 07, 2019
Fidelity adds bond, multi-asset choices to model portfolios

These are the first models to include exchange-traded funds.

Annuities group signs up for Rolling Stones tour
RETIREMENT LIFE INSURANCE AND ANNUITIES FEB 07, 2019
Annuities group signs up for Rolling Stones tour

The Alliance for Lifetime Income will be sole sponsor of the band's shows in the U.S. this year.

Great-West Life taps Edmund Murphy to succeed Robert Reynolds as CEO
RETIREMENT LIFE INSURANCE AND ANNUITIES FEB 07, 2019
Great-West Life taps Edmund Murphy to succeed Robert Reynolds as CEO

Reynolds becomes chairman of Great-West Lifeco US

Advisers with $393 million in AUA join Integrated Financial Partners
NEWS INDUSTRY NEWS FEB 07, 2019
Advisers with $393 million in AUA join Integrated Financial Partners

Three of the five hybrids are located near San Diego; two are in Louisville, Ky.

Finra bars rep fired by Merrill Lynch over improper fund sales
NEWS INDUSTRY NEWS FEB 06, 2019
Finra bars rep fired by Merrill Lynch over improper fund sales

Bhenoy Dembla entered fictitious trades to circumvent Class B sales limits.