InvestmentNews

InvestmentNews
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NEWS REGULATION AND LEGISLATION DEC 18, 2017
Report: Arbitrations handled by non-lawyers can harm investors

YOUR PRACTICE PRACTICE MANAGEMENT DEC 18, 2017
Broker managing $141 million at Stifel joins Ameriprise

Mark McGrath moves to firm's employee channel in Timonium, Md.

NEWS RIAS DEC 18, 2017
Team managing $700 million at J.P. Morgan moves to hybrid RIA

Four-adviser group joins Fieldpoint Private in Greenwich, Conn.

NEWS RIAS DEC 15, 2017
SEC charges Indiana RIA with misleading investors

Agency orders Louis Mohlman Jr. to pay $100,000 in civil penalties.

NEWS REGULATION AND LEGISLATION DEC 15, 2017
Finra bars former LPL broker for 'misrepresentations'

Leslie Koonce denied he took part in private securities transactions.

NEWS INDUSTRY NEWS DEC 15, 2017
SEC bars New York adviser for fraud

Justin D. Meadlin will pay more than $300,000 for inflating firm's AUM, touting nonexistent fund.

NEWS BROKER DEALERS DEC 14, 2017
UBS team managing $440 million moves to Raymond James

Five-person team in Winter Park, Fla., shifts to firm's employee channel.

NEWS REGULATION AND LEGISLATION DEC 14, 2017
Finra bars former MML broker for refusing on-record testimony

Self-regulator was investigating Brian Travers' outside business and private securities transactions.

YOUR PRACTICE FINTECH DEC 14, 2017
Survey: 41% of households mix digital, human financial advice

Most consumers under age 45 with over $250,000 in assets reportedly fall into this category.

NEWS REGULATION AND LEGISLATION DEC 13, 2017
NASAA: Promissory notes top investor complaints

State securities regulator group says investors also should beware real estate, Ponzi schemes.