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InvestmentNews
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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 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.

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.

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

NEWS RIAS FEB 08, 2018
Massachusetts regulator mulls greater fee disclosure

State-registered RIAs would have to provide fee table for greater transparency

RETIREMENT RETIREMENT PLANNING FEB 08, 2018
DC participants with 401(k)s and HSAs have higher savings rates for 401(k) and overall

Report data contradicts sponsors' fears of HSAs cannibalizing 401(k) savings

RETIREMENT LIFE INSURANCE AND ANNUITIES FEB 08, 2018
Minnesota rep barred for no-show over VA trades

Finra was investigating Brett Ashy for unauthorized transaction.