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InvestmentNews
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NEWS REGULATION AND LEGISLATION FEB 16, 2018
Finra issues Investor Alert warning about scams that offer Finra 'guarantees'

Regulator scams, some using fake signatures of Finra executives, have been growing.

NEWS REGULATION AND LEGISLATION FEB 15, 2018
Finra bars former Lincoln Financial rep for misusing customer funds

Client invested $20,000 in a real estate investment controlled by the broker, who later used the money for his own personal use.

NEWS INDUSTRY NEWS FEB 15, 2018
Buckingham Strategic Wealth acquires $350 million Stevens Wealth Management

Addition of Deerfield, Ill., RIA expands Chicago footprint of St. Louis-based $12.6 billion RIA.

NEWS INDUSTRY NEWS FEB 15, 2018
KMS unit of Ladenburg appoints Erinn Ford president

Former head of Cetera Advisors succeeds Ace Forsythe, who's retiring.

NEWS REGULATION AND LEGISLATION FEB 14, 2018
Adviser charged with defrauding investors out of $1 million in 26-year-old real estate fraud

Massachusetts securities regulator says Thomas Riquier defrauded investors while son-in-law supervised.

NEWS INDUSTRY NEWS FEB 13, 2018
Cetera creates 'traditional' and 'specialty' channels for its six B-Ds

Mimi Bock recruited from LPL to head Cetera Advisors and First Allied.

NEWS RIAS FEB 13, 2018
New York adviser sentenced to six months for insider trading

Tibor Klein also will pay $20,000 fine for trading on 2010 Pfizer acquisition.

YOUR PRACTICE PRACTICE MANAGEMENT FEB 12, 2018
SEC bars former Merrill rep Thomas J. Buck over commissions

Accused of charging clients excessive fees and commissions, Thomas J. Buck has already been barred by Finra and has pleaded guilty to a criminal charge.

NEWS INDUSTRY NEWS FEB 09, 2018
Two super OSJs overseeing $3.5B affiliate with Securities America

The firms, with a total of 65 brokers, were formerly affiliated with National Planning Holding.

NEWS REGULATION AND LEGISLATION FEB 09, 2018
LPL censured and fined $375,000 over brokered CD record keeping

Finra says firm did not have adequate risk-disclosure procedures in place