InvestmentNews

InvestmentNews
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NEWS REGULATION AND LEGISLATION DEC 13, 2017
Finra bars former Next rep over incomplete information

Regulator was investigating JoeAnn Walker's sales of variable annuities.

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.

NEWS REGULATION AND LEGISLATION DEC 12, 2017
SEC charges Connecticut hybrid with fraud

Agency says Westport Capital's clients lost $1 million through inflated stock buys.

NEWS INDUSTRY NEWS DEC 12, 2017
SII loses $380 million team to Ameriprise

Nine-adviser group from Omaha area joins franchise unit.

YOUR PRACTICE PRACTICE MANAGEMENT DEC 12, 2017
LPL retains $1.6B Zuk Financial Group

California-based hybrid was one of National Planning Corp.'s largest firms

YOUR PRACTICE FINTECH DEC 12, 2017
Jay Clayton issues cryptocurrency warning

SEC chairman urges investors to use common sense, market pros to mind securities laws.

YOUR PRACTICE PRACTICE MANAGEMENT DEC 12, 2017
UBS loses $327 million adviser to Alex. Brown

James Sheehan to work at the Park Avenue office of the Raymond James division.

NEWS INDUSTRY NEWS DEC 11, 2017
SEC charges former Philadelphia broker with fraud

Paul Smith allegedly raised $2.35 million without telling his broker-dealers.

NEWS BROKER DEALERS DEC 11, 2017
Finra fines three former Cetera firms over sales

Investors Capital, J.P. Turner and VSR to pay $698,612 for pushing higher-priced fund classes.

YOUR PRACTICE PRACTICE MANAGEMENT DEC 11, 2017
Raymond James, Stifel pick up wirehouse advisers

KMS snags National Planning Corp. team, while Kestra adds retirement specialist team from Cadaret Grant