InvestmentNews

InvestmentNews
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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.

NEWS BROKER DEALERS OCT 11, 2017
Finra bars former broker over unauthorized use of discretion

Kenneth Neuner, terminated by Summit Brokerage, was an arbitration no-show

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

NEWS RIAS OCT 11, 2017
Raymond James lands $5B custody and clearing client

Virginia-based Capitol Securities Management to move its business from Pershing next spring.

YOUR PRACTICE FINTECH OCT 10, 2017
Oranj launches 'free' financial platform as way to lower client costs

MAX platform offers access to products from BlackRock, Morningstar, Direxion and others.

NEWS INDUSTRY NEWS OCT 06, 2017
Finra denies WSJ report that regulator has underperforming portfolio

Regulator says Journal's analysis makes improper comparison of returns.

YOUR PRACTICE FINTECH OCT 05, 2017
Redtail launches compliant texting platform

New service will record and archive text messages in searchable format.

NEWS REGULATION AND LEGISLATION OCT 03, 2017
Judge overturns SEC sanctions on adviser

Judge says barred broker was supplied false statements by boss, who had 'ultimate authority' over them.

NEWS RIAS OCT 03, 2017
Long-time FiNet executive buys stake in $800 million firm