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MML loses $400 million team to Commonwealth
NEWS INDUSTRY NEWS AUG 20, 2018
MML loses $400 million team to Commonwealth

Innovative Financial Solutions is based in Bloomington, Ind., and Palm Coast, Fla.

Finra fines Interactive Brokers $5.5 million for short-sale violations
NEWS REGULATION AND LEGISLATION AUG 20, 2018
Finra fines Interactive Brokers $5.5 million for short-sale violations

Regulator says firm did not have adequate procedures in place to comply with regulations

Merrill team managing $325 million moves to Janney
NEWS BROKER DEALERS AUG 20, 2018
Merrill team managing $325 million moves to Janney

Michael Kernicky and his two sons join the firm in Media, Pa.

How a hacker led to Finra censuring and fining a broker-dealer
YOUR PRACTICE FINTECH AUG 20, 2018
How a hacker led to Finra censuring and fining a broker-dealer

Buttonwood Partners of Madison, Wis., fined $50,000 over unauthorized transfers.

Merrill team managing $235 million goes indie with Raymond James
NEWS INDUSTRY NEWS AUG 20, 2018
Merrill team managing $235 million goes indie with Raymond James

Three-person Patton Wealth Management sets up shop in Maumee, Ohio.

Trump complains to donors about Powell's rate hikes
NEWS INDUSTRY NEWS AUG 20, 2018
Trump complains to donors about Powell's rate hikes

President told wealthy Republicans at fundraiser he wasn't in favor of Fed raising interest rates.

Women in same-sex marriages are seen needing more for retirement
RETIREMENT RETIREMENT PLANNING AUG 20, 2018
Women in same-sex marriages are seen needing more for retirement

Because women live longer than men, female couples need to put away more money for their old age, a new report shows.

Bonhill Group completes acquisition of InvestmentNews
NEWS INDUSTRY NEWS AUG 17, 2018
Bonhill Group completes acquisition of InvestmentNews

Publisher Suzanne Siracuse named CEO of InvestmentNews, Frederick P. Gabriel Jr. promoted to editorial director

Wells Fargo brokers managing $179 million move to Stifel
NEWS INDUSTRY NEWS AUG 16, 2018
Wells Fargo brokers managing $179 million move to Stifel

Russ Schwartz and Kaival Patel make switch in Hackensack, N.J.

Ameriprise to pay $4.5 million to settle SEC charges that five reps stole more than $1 million from clients
NEWS REGULATION AND LEGISLATION AUG 15, 2018
Ameriprise to pay $4.5 million to settle SEC charges that five reps stole more than $1 million from clients

Agency censures firm for not protecting clients from thieving brokers.