InvestmentNews

InvestmentNews
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INVESTING FIXED INCOME MAR 20, 2018
UBS ordered to pay $204,000 in Puerto Rican bond claim

Finra panel says firm was liable for breach of contract and unsuitability.

YOUR PRACTICE PRACTICE MANAGEMENT MAR 20, 2018
Finra bars former Morgan Stanley rep for unauthorized trades

Firm has settled 13 claims and paid customers of Thomas Alan Meier $2.5 million.

NEWS REGULATION AND LEGISLATION MAR 19, 2018
SEC settles with L.A.-based firm over customer protection violations

Electronic Transaction Clearing censured and will pay $80,000 penalty.

NEWS REGULATION AND LEGISLATION MAR 16, 2018
Fifth Circuit Court ruling: point/counterpoint

Industry leaders weigh in on the ruling that changed the fate of the Labor Department's fiduciary rule.

NEWS REGULATION AND LEGISLATION MAR 16, 2018
Finra bars former broker in investigation no-show

Stephen Woods allegedly settled customer complaint on his own.

NEWS REGULATION AND LEGISLATION MAR 16, 2018
Feds broaden investigation of Wells Fargo Advisors: WSJ

FBI agents have interviewed some wealth-management employees.

NEWS INDUSTRY NEWS MAR 15, 2018
Invest loses $245 million indie to Kestra

Maryland-based Potomac Financial Consultants is led by Michelle Bender.

NEWS REGULATION AND LEGISLATION MAR 12, 2018
SEC bars two in pension pay-to-play scandal

The former brokers bribed a pension fund manager to get trades that netted them millions in commissions.

NEWS INDUSTRY NEWS MAR 08, 2018
Team managing $350 million at Northwestern Mutual joins Commonwealth

Father-and-son Spiegelman Wealth Management is based in Lafayette, Calif.

YOUR PRACTICE PRACTICE MANAGEMENT MAR 08, 2018
Gender of fund manager makes no difference in performance, Morningstar says

A more diverse fund industry would have no effect on investor returns.