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InvestmentNews
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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 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 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.

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.