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NEWS INDUSTRY NEWS NOV 22, 2017
Adviser Daniel Glick charged with ripping off elderly, including his in-laws

Prosecutors claim Daniel Glick used some of the funds for personal and business expenses.

NEWS INDUSTRY NEWS NOV 22, 2017
Former H.D. Vest broker barred for noncooperation

Finra was investigating whether Brian Royster borrowed from clients.

YOUR PRACTICE FINTECH NOV 21, 2017
Finra updates and enhances Fund Analyzer tool

Advisers and investors will get better look at costs in 30,000 products

INVESTING EQUITIES NOV 21, 2017
Advisers predict volatility will rise

Eaton Vance survey finds greater confidence among certain advisers.

NEWS INDUSTRY NEWS NOV 20, 2017
Retired Morgan Stanley rep fined for unsuitable advice

Timothy Gibbons over-concentrated elderly clients in energy investment.

NEWS REGULATION AND LEGISLATION NOV 17, 2017
Finra bars no-show ex-Woodbury rep

Regulator wanted to investigate Robert Hoffmann's trading recommendations.

NEWS INDUSTRY NEWS NOV 16, 2017
Finra bars ex-broker for private securities deals

Jerry Lou Guttman was with United Planners' Financial Services.

NEWS BROKER DEALERS NOV 16, 2017
Financial Focus takes $446 million in assets from NPC to Securities America

Women-owned Carlsbad, Calif.-based firm specializes in serving women.

RETIREMENT LIFE INSURANCE AND ANNUITIES NOV 15, 2017
Finra fines Horner Townsend & Kent $275,000 over VA sales

Firm also censured for failure to supervise share class recommendations.

YOUR PRACTICE FINTECH NOV 15, 2017
Digital disruption coming for asset managers, says Moody's

FANG gang may be eying business for its data value, not revenue.