InvestmentNews

InvestmentNews
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NEWS INDUSTRY NEWS JAN 24, 2018
Merrill Lynch rep managing $200 million moves to Wells Fargo

Dennis Hall joins a New Jersey indie practice affiliated with FiNet.

NEWS INDUSTRY NEWS JAN 23, 2018
SEC files suit against California hybrid adviser for fraud

Charges firm's execs with lying to investors in real estate deals.

NEWS INDUSTRY NEWS JAN 23, 2018
Advisor Group B-Ds recruited 614 advisers last year

Parent of FSC, Royal Alliance, SagePoint and Woodbury added $13 billion in AUA.

NEWS INDUSTRY NEWS JAN 22, 2018
Two sentenced in fraud case for inflating price and trading volume of penny stock

Broker Christopher 'Smitty' Cervino and investment adviser Sheik F. Khan defrauded investors out of million of dollars, according to the U.S. Attorney's Office.

NEWS INDUSTRY NEWS JAN 19, 2018
Wells Fargo loses rep managing $178 million to Stifel

Greg Greenberg switches firms in Overland Park, Kansas.

NEWS INDUSTRY NEWS JAN 18, 2018
Two practices, each managing $150 million, leave Wells Fargo FiNet

LongView moves to Raymond James, Corinthian to Summit.

NEWS INDUSTRY NEWS JAN 18, 2018
Hybrid group managing $1.3 billion leaves LPL

Cornerstone Wealth affiliates with Mutual Securities; custodies at Fidelity.

NEWS INDUSTRY NEWS JAN 17, 2018
Former Investors Capital rep barred by Finra

Regulator was investigating Matthew Peregoy's possible misuse of funds.

NEWS INDUSTRY NEWS JAN 17, 2018
Merrill rep managing $115 million joins HighTower

Gayle Johnson based in Santa Fe, N.M., goes RIA.

NEWS INDUSTRY NEWS JAN 17, 2018
Team managing $124 million at Raymond James moves to Ameriprise

Jose Lopez and Misael Lugo are joining the firm's employee channel in Orlando, Fla.