InvestmentNews

InvestmentNews
Displaying 3993 results
Wells Fargo team managing $462 million moves to Raymond James
NEWS INDUSTRY NEWS AUG 09, 2018
Wells Fargo team managing $462 million moves to Raymond James

Linda Pardini and Douglas Wulbrecht join employee unit in Santa Rosa, Calif.

Two firms overseeing $378 million affiliate with Woodbury
NEWS INDUSTRY NEWS AUG 08, 2018
Two firms overseeing $378 million affiliate with Woodbury

Next Financial and Kestra Financial lose out in B-D swap.

Finra bars former UBS rep for failure to provide information
NEWS REGULATION AND LEGISLATION AUG 08, 2018
Finra bars former UBS rep for failure to provide information

Regulator was investigating Alex Herrera's real estate deals with clients

SEC charges former J.P. Turner trader with entering fake trades
NEWS REGULATION AND LEGISLATION AUG 08, 2018
SEC charges former J.P. Turner trader with entering fake trades

Agency says Salvadore Palermo paid customers above-market prices for CDs

Vanguard, Fidelity, Pimco are top three fund firms among RIAs
INVESTING MUTUAL FUNDS AUG 07, 2018
Vanguard, Fidelity, Pimco are top three fund firms among RIAs

DFA rises to fourth most-popular from sixth place in 2016.

Wells Fargo broker managing $150 million moves to Baird
NEWS WIREHOUSES AUG 06, 2018
Wells Fargo broker managing $150 million moves to Baird

Harry Buchanan Smith and team joins firm in Charlotte, N.C.

RIA firms optimistic about hiring and asset growth
NEWS RIAS AUG 01, 2018
RIA firms optimistic about hiring and asset growth

Study: Biggest concerns are cybersecurity, a possible market downturn and regulation

Despite 20% asset growth, RIA margins declined in 2017
NEWS RIAS AUG 01, 2018
Despite 20% asset growth, RIA margins declined in 2017

TD Ameritrade says median operating margin dropped to 20% from 24% in 2016, survey finds.

Vitesse Media to buy InvestmentNews in $27.1M deal
NEWS INDUSTRY NEWS JUL 31, 2018
Vitesse Media to buy InvestmentNews in $27.1M deal

London-based buyer to gain toehold in U.S. media market in transaction expected to close mid-August. InvestmentNews leadership team remains intact.

Fidelity seeks injunction against rep who oversaw $2.7 billion
NEWS REGULATION AND LEGISLATION JUL 31, 2018
Fidelity seeks injunction against rep who oversaw $2.7 billion

Laurence Rollins accused of taking trade secrets to new employer.