InvestmentNews

InvestmentNews
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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

NEWS REGULATION AND LEGISLATION APR 30, 2018
Wells Fargo to pay $9.5 million to reps in compensation dispute

Payment would settle class action filed by current and former reps over commissions, expenses.

RETIREMENT RETIREMENT PLANNING APR 27, 2018
Job satisfaction tied to benefits satisfaction, survey finds

EBRI says almost two-thirds of employees who are happy with their benefits have high morale.

NEWS INDUSTRY NEWS APR 26, 2018
Oppenheimer loses $230 million team to hybrid

Tom Anderton and Ryan Howard join 626 Financial in Portage, Mich.