InvestmentNews

InvestmentNews
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RETIREMENT RETIREMENT PLANNING JAN 04, 2018
AARP, state regulators launch find-an-adviser tool

Site recommends questions investors should ask before hiring a financial adviser.

NEWS RIAS JAN 04, 2018
SEC censures Arizona RIA for false ADVs

Mark Love and firm to pay $100,000 for failing to disclose fund tie.

NEWS INDUSTRY NEWS JAN 03, 2018
Merrill Lynch team managing $300 million goes indie with Raymond James

Three-broker team, Affinity Wealth Partners, is based in Springfield, Mo.

YOUR PRACTICE PRACTICE MANAGEMENT JAN 03, 2018
AARP and NASAA launch find-an-adviser tool

Site recommends questions that investors should ask before hiring an adviser.

NEWS REGULATION AND LEGISLATION DEC 29, 2017
Rep fired by NY Life barred from industry for failing to show up at Finra hearing

Tyrone Pang was terminated for accepting a customer's check made payable to himself for an insurance premium payment.

NEWS RIAS DEC 28, 2017
Assets in fiduciary accounts grow to 42% of total

Cerulli says 'concern for fiduciary alignment' will color product selection.

YOUR PRACTICE PRACTICE MANAGEMENT DEC 27, 2017
Your tax bill questions answered

Leon LaBrecque, managing partner at LJPR Financial Advisors, offers guidance on Washington's major overhaul.

NEWS RIAS DEC 27, 2017
Morgan Stanley team managing $180 million joins Raymond James in California

Father-daughter team of John and Deanna DeRosa in Newport Beach join employee channel.

YOUR PRACTICE PRACTICE MANAGEMENT DEC 27, 2017
William Galvin fines Securities America over radio ads

Failure to supervise rep's efforts to woo elderly costs firm $125,000 in Massachusetts.

NEWS REGULATION AND LEGISLATION DEC 27, 2017
J.P. Morgan fined $2.8 million for clearing errors

Finra says Bear Stearns' flawed system led to securities segregation issues