InvestmentNews

InvestmentNews
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NEWS INDUSTRY NEWS JAN 17, 2018
Ameriprise team managing $197 million joins Stifel

Tom Hankins and Jay Lauzon are based in Flint, Mich.

YOUR PRACTICE PRACTICE MANAGEMENT JAN 16, 2018
CFP Board appoints Kathleen McQuiggan special adviser on gender diversity

Succeeds Eleanor Blayney in efforts to address shortage of women in financial planning.

NEWS REGULATION AND LEGISLATION JAN 16, 2018
Finra bars broker involved with Dawn Bennett

Bradley Mascho already charged by SEC with abetting fraud.

YOUR PRACTICE FINTECH JAN 11, 2018
Envestnet adds easier document storage to Tamarac

Cloud-based system eliminates need for third-party.

NEWS INDUSTRY NEWS JAN 10, 2018
New Jersey bank moves $700 million program from Invest to Cetera

Investors Bank brokerage operation has 65 licensed representatives.

NEWS INDUSTRY NEWS JAN 09, 2018
Duo managing $180 million at RBC joins Alex. Brown

Broker Collin Rigler and associate Eric Montijo based in Los Angeles.

NEWS INDUSTRY NEWS JAN 09, 2018
A $1.2 billion super OSJ decides to stay with LPL

Advisors Southeastern Alliance was affiliated with INVEST Financial.

NEWS REGULATION AND LEGISLATION JAN 08, 2018
Finra panel awards investor $1.67 million in churning case

Broker David Lloyd Barber and Madison Avenue Securities to pay all fees, costs.

NEWS INDUSTRY NEWS JAN 08, 2018
Finra bars fired Ameriprise rep for churning accounts of elderly

Larry Boggs exercised discretion in five accounts without written authorization.

NEWS REGULATION AND LEGISLATION JAN 05, 2018
Finra fines Meyers Associates $700,000 over sales literature

Bruce Meyers also fined $75,000 for supervision failures and barred from serving as a principal or supervisor.