InvestmentNews

InvestmentNews
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YOUR PRACTICE PRACTICE MANAGEMENT MAY 22, 2018
Connecticut RIA adds adviser managing $300 million

Procyon Partners hires Antonio Rodrigues from Olson Mobeck

NEWS INDUSTRY NEWS MAY 22, 2018
Ameriprise team managing $282 million moves to Commonwealth

Endeavor Wealth Advisory Group is based in Rochester, N.Y.

NEWS REGULATION AND LEGISLATION MAY 21, 2018
Arbitration over employment agreement nets adviser $267,000

Finra says broker Francis Mitchell and Coastal Equities owe each other money.

NEWS REGULATION AND LEGISLATION MAY 21, 2018
State regulators launch 'Operation Cryptosweep' to crack down on fraud

NASAA announces series of investigations, enforcement actions in U.S. and Canada targeting shady initial coin offerings and cryptocurrency products.

NEWS WIREHOUSES MAY 15, 2018
California rep files class action suit against Morgan Stanley

Former broker in San Francisco claims firm did not reimburse reps for expenses.

NEWS INDUSTRY NEWS MAY 15, 2018
ETrade's custodial unit adds new investment choices

Morningstar, ClearBridge, Manning & Napier and Earth Equity join platform

RETIREMENT RETIREMENT PLANNING MAY 15, 2018
Team advising on $2 billion leaves Avondale for Janney

Three-adviser group in Franklin, Tenn., serves retirement plans.

NEWS INDUSTRY NEWS MAY 15, 2018
Team managing $180 million switches from LPL to Commonwealth

Three-adviser TL Financial Group is based in Southgate, Mich.

NEWS RIAS MAY 14, 2018
Serial RIA entrepreneur Peter Raimondi starts third firm

Dakota Wealth Management kicks off with $600 million in assets

YOUR PRACTICE PRACTICE MANAGEMENT MAY 08, 2018
Wells Fargo team managing $566 million moves to Baird

Irving Mindes, William Fedor and two assistants relocate in Tucson, Ariz.