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Finra panel awards schoolteachers $2.38 million in fraud case
NEWS REGULATION AND LEGISLATION FEB 04, 2019
Finra panel awards schoolteachers $2.38 million in fraud case

Complex case involved suicide, excessive trading and unauthorized transfers.

Hanson McClain acquires $235 million HBP Retirement
NEWS INDUSTRY NEWS FEB 01, 2019
Hanson McClain acquires $235 million HBP Retirement

Napa, Calif.-based RIA expands firm's footprint in Bay Area.

First Look This Week
NEWS INDUSTRY NEWS JAN 24, 2019
First Look This Week

Access the digital edition of InvestmentNews here.

Retired NFL player, lottery winner win $4.2 million arbitration award from Morgan Stanley
NEWS REGULATION AND LEGISLATION DEC 28, 2018
Retired NFL player, lottery winner win $4.2 million arbitration award from Morgan Stanley

The lottery winner, James Groves, was awarded $3.3 million, and Asante Samuel, who retired in 2013 after an 11-year career with the New England Patriots, Philadelphia Eagles and Atlanta Falcons, will receive $879,000.

NEWS REGULATION AND LEGISLATION DEC 27, 2018
JPMorgan to pay more than $135 million for improper handling of ADRs

This is the eighth action against a bank or broker, and fourth action against a depositary bank, resulting from the SEC's ongoing investigation into abusive ADR pre-release practices.

Finra fines Morgan Stanley $10 million for lapses in anti-money laundering program
NEWS WIREHOUSES DEC 26, 2018
Finra fines Morgan Stanley $10 million for lapses in anti-money laundering program

Finra's findings were largely surrounding legacy Morgan Stanley Smith Barney systems, staffing and processes relating to the surveillance of wire transfers, and the deposit and sale of low priced securities.

InvestmentNews launches new website: Fintech for Advisers
NEWS INDUSTRY NEWS NOV 12, 2018
InvestmentNews launches new website: Fintech for Advisers

InvestmentNews is excited to announce the launch of a new website showcasing fintech trends for technology-driven advisers.

Why a new Betterment chief could usher in an IPO
YOUR PRACTICE FINTECH NOV 12, 2018
Why a new Betterment chief could usher in an IPO

The departure of Betterment founder and CEO Jon Stein, after a decade at the reins of the industry’s leading independent robo-adviser, was surprising and a bit bittersweet.

Goldman Sachs primed to launch new robo-adviser Marcus Invest
YOUR PRACTICE FINTECH NOV 12, 2018
Goldman Sachs primed to launch new robo-adviser Marcus Invest

Goldman Sachs Inc. is testing its digital advice platform with employees ahead of a public rollout slated for the first quarter, according to a company memo reviewed by InvestmentNews.

A watershed year for wealthtech adoption
YOUR PRACTICE FINTECH NOV 12, 2018
A watershed year for wealthtech adoption

One of the greatest impacts of 2020 on wealth management is the increase in wealthtech adoption by advisers.