InvestmentNews

InvestmentNews
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INVESTING ALTERNATIVES FEB 08, 2018
Majority of high-net-worth advisers plan more direct investments, Cerulli says

Just 22% say they plan to expand use of outside private-equity funds

NEWS INDUSTRY NEWS FEB 06, 2018
Berthel Fisher censured and fined $675,000 over alts sales

NEWS INDUSTRY NEWS FEB 06, 2018
Finra bars J.P. Morgan rep fired for improper account access

Regulator was investigating complaints against Ricardo Rodriguez-Stern.

NEWS REGULATION AND LEGISLATION FEB 06, 2018
Former Berthel Fisher rep suspended for 21 months

Jeffrey Dragon also fined $50,000 over unsuitable recommendations.

NEWS INDUSTRY NEWS FEB 05, 2018
LPL rep managing $186 million joins Ameriprise

Neil Bailey and team switch to employee channel in Cincinnati.

NEWS INDUSTRY NEWS FEB 02, 2018
UBS adviser managing $200 million moves to Alex. Brown

Andrew Hutcheson joins Raymond James unit in Los Angeles.

NEWS REGULATION AND LEGISLATION FEB 02, 2018
Former IFS broker barred for fraudulent, private deals

Finra says Francis Joseph Gendlek caused investors to lose $620,000.

NEWS WIREHOUSES JAN 31, 2018
Wells quants predict Patriots will win the Super Bowl

Analysts' formula says New England will cover the point spread over Philly.

YOUR PRACTICE PRACTICE MANAGEMENT JAN 29, 2018
John Taft joins Baird as vice chairman

Former CEO of RBC Wealth Management will focus on retail.

NEWS INDUSTRY NEWS JAN 29, 2018
Wells Fargo $350 million team goes indie with Raymond James

Four-adviser group, Z3 Capital Partners, is based in Richmond, Va.