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InvestmentNews
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NEWS INDUSTRY NEWS OCT 17, 2017
Wisconsin advisory firm leaves broker-dealer NPC for Woodbury Financial Services

Feucht Financial Group, started as tax-prep service, administers more than $430 million in assets.

INVESTING MUTUAL FUNDS OCT 16, 2017
State Street cuts fees, renames 15 ETFs

Reductions range from five to 48 basis points and three funds will track new indexes.

NEWS INDUSTRY NEWS OCT 16, 2017
Finra orders Wells Fargo to pay $3.4 million over risky ETFs and ETNs

Regulator reminds firms of their duty to understand volatility-linked products and supervise how they are sold.

INVESTING MUTUAL FUNDS OCT 16, 2017
TD Ameritrade to bolster lineup of commission-free ETFs

TD Ameritrade has expanded its commission-free exchange-traded funds platform to 296 from 100, effective Oct. 17.

RETIREMENT LIFE INSURANCE AND ANNUITIES OCT 13, 2017
IRS alerts tax pros to insurance form scam

Government says cybercriminals have found ways to access life insurance and annuity accounts.

NEWS INDUSTRY NEWS OCT 12, 2017
New York-area bank chooses Cetera for clearing

Flushing Bank will move from Infinex Financial Group.

NEWS INDUSTRY NEWS OCT 12, 2017
Morgan Stanley loses two reps to Wells Fargo

California brokers in Beverly Hills and Rancho Bernardo oversaw a total of nearly $373 million.

NEWS INDUSTRY NEWS OCT 12, 2017
Sisters managing $141 million leave Raymond James for Ameriprise

Trio in Ormond Beach, Fla., will join the firm's employee channel.

NEWS RIAS OCT 12, 2017
Tiedemann to acquire $3.4 billion Threshold, which has an interest in impact investing

Founded by the Russell family, Threshold will take an ownership stake in Tiedemann, where it will also remain a client.

RETIREMENT LIFE INSURANCE AND ANNUITIES OCT 11, 2017
Finra orders Morgan Stanley to return $200,000 in variable annuity sale

Arbitration panel says prospectus, fees may not have been sufficiently revealed beforehand