InvestmentNews

InvestmentNews
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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.

NEWS REGULATION AND LEGISLATION MAY 07, 2018
Former broker in Philadelphia sentenced to five years in prison

Former broker in Philadelphia sentenced to prison and to pay $886,214 in restitution to clients.

NEWS INDUSTRY NEWS MAY 07, 2018
Merger of CFO4Life and Vogel creates $1.2 billion firm

The two wealth managers are located in the suburbs of Dallas.

NEWS REGULATION AND LEGISLATION MAY 02, 2018
Beyond BrokerCheck: SEC adds online adviser search tool

SALI shows whether advisers have a judgment against them in an enforcement action

NEWS INDUSTRY NEWS MAY 01, 2018
Finra bars former NY Life broker over unauthorized annuity signature

Craig Walker was permitted to resign after 79-year-old customer complained.

NEWS INDUSTRY NEWS MAY 01, 2018
Wells Fargo adviser in Rochester, N.Y., moves to Raymond James

John Banks is joining the employee unit

NEWS REGULATION AND LEGISLATION MAY 01, 2018
Fired Merrill broker gets $750,000 in damages for defamation

Finra panel also lets Miguel Ballestas off the hook for $407,000 note

INVESTING ETFS APR 30, 2018
SEC bars Howard Present, former head of F-Squared Investments

Unless Howard Present pays $12.4 million in penalties, interest and disgorgement, he can't be reinstated