InvestmentNews

InvestmentNews
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NEWS INDUSTRY NEWS OCT 26, 2017
Raymond James adds 200 advisers in fiscal 2017

Healthy retail business buoys corporate performance for the year.

YOUR PRACTICE PRACTICE MANAGEMENT OCT 25, 2017
Ameriprise attracts 88 advisers in third quarter

Its adviser count is now at 9,890, including the IPI acquisition.

NEWS REGULATION AND LEGISLATION OCT 23, 2017
PIABA selects Andrew Stoltmann as new president

On plaintiff group's agenda: Establishing unpaid arbitration award pool and ensuring SEC doesn't 'water down' DOL fiduciary rule.

RETIREMENT RETIREMENT PLANNING OCT 23, 2017
TIAA may be pushing unsuitable products, whistleblowers say

New York Times reports reps may have incentive to push higher-fee managed accounts.

YOUR PRACTICE PRACTICE MANAGEMENT OCT 23, 2017
Six-rep team managing $369 million at Wells Fargo joins Ameriprise

The group, led by David Neihart, was with the Wells employee channel, and they'll stay in that same channel at Ameriprise

YOUR PRACTICE FINTECH OCT 23, 2017
Hearsay acquires Mast Mobile

NEWS INDUSTRY NEWS OCT 20, 2017
SEC charges adviser with stealing $9 million intended for charity

John Rogicki, also his firm's chief compliance officer, is the second person at New York-based Train Babcock Advisors to face fraud-related charges.

NEWS INDUSTRY NEWS OCT 19, 2017
LPL retains $570 million with super-OSJ deal

Kansas-based nVision Wealth will come under supervision of Chicago-based IHT Wealth Management.

YOUR PRACTICE PRACTICE MANAGEMENT OCT 19, 2017
LPL loses $1.3 billion super OSJ to Securities America

Priority Financial Group specializes in credit unions in the Southwest.

RETIREMENT RETIREMENT PLANNING OCT 19, 2017
IRS raises 2018 contribution limit for qualified plans to $18,500

The phase-out ranges for IRA and Roth IRA contributions were also raised.