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InvestmentNews
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NEWS REGULATION AND LEGISLATION JUN 18, 2018
Finra expels Dakota Securities for allowing suspended broker to work

Hearing panel also permanently bars broker Bruce Zipper for ignoring suspension.

NEWS REGULATION AND LEGISLATION JUN 18, 2018
Finra bars former Morgan Stanley manager for failing to supervise Home Shopping Network magnate's account

Terry McCoy barred from working in a supervisory capacity and fined $75,000 for missing Ami Forte's churning of elderly client's account.

NEWS INDUSTRY NEWS JUN 14, 2018
Former Morgan Stanley rep barred for using customer funds

Justin Mair says he 'mistakenly' paid his electric bill with client money.

NEWS BROKER DEALERS JUN 14, 2018
Vermont hybrid managing $330 million moves from Lincoln to LPL

Flood Financial Services switches broker-dealer and RIA platforms.

NEWS INDUSTRY NEWS JUN 13, 2018
Galvin announces settlement with LPL allowing investors to get their money back

Settlement is part of a $26 million agreement between the independent broker dealer and the North American Securities Administrators Association.

NEWS INDUSTRY NEWS JUN 13, 2018
Wealth Enhancement Group acquires Cimino Wealth Advisors

Addition of $495 million Wisconsin hybrid brings AUM to $8.4 billion.

NEWS REGULATION AND LEGISLATION JUN 12, 2018
Merrill Lynch ordered to pay $15 million to settle mortgage securities charges

SEC says firm employees misled customers into overpaying for RMBS debt.

Impact investments made by more than 70% of millennials and Gen Xers
NEWS INDUSTRY NEWS JUN 12, 2018
Impact investments made by more than 70% of millennials and Gen Xers

Just 30% of baby boomers and older investors have made similar investments, Fidelity Charitable finds.

NEWS REGULATION AND LEGISLATION JUN 11, 2018
First Allied rep fired for violating sales policies barred by Finra

Sean Aaron Brady failed to cooperate with Finra's investigation into the circumstances of his termination.

NEWS INDUSTRY NEWS JUN 07, 2018
Adviser team managing $340 million at UBS goes indie with Kestra

Jeffrey Boudjouk, two other advisers and assistant set up hybrid in Rhode Island.