InvestmentNews

InvestmentNews
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YOUR PRACTICE PRACTICE MANAGEMENT OCT 03, 2017
Michael Durbin named president of Fidelity Institutional

He succeeds Jeffrey P. Lagarce, a long-tenured Fidelity executive who will be transitioning to a senior adviser role.

NEWS INDUSTRY NEWS OCT 02, 2017
Ex-broker ordered to pay $550K for bilking investors with modest incomes

SEC obtains default judgment on reckless trading of leveraged ETFs and ETNs, theft from unsophisticated investors.

NEWS WIREHOUSES OCT 02, 2017
Bank of America names new head of US Trust

Katy Knox named president, replacing Keith Banks, who will become vice chairman of the global wealth and investment management unit.

NEWS INDUSTRY NEWS SEP 29, 2017
SEC charges barred broker with masterminding $6 million real estate scam

Leonard Vincent Lombardo, who has been barred from the securities industry by Finra for about 20 years, allegedly defrauded 100 investors.

NEWS INDUSTRY NEWS SEP 28, 2017
H. Beck censured, fined $50,000 for unsuitable ETF trades

Letter of consent comes after firm paid $1.5 million in related arbitration case.

NEWS INDUSTRY NEWS SEP 27, 2017
Colorado indicts former LPL rep on securities fraud, theft charges

Sonya Camarco accused of diverting more than $850,000 from client accounts.

YOUR PRACTICE PRACTICE MANAGEMENT SEP 26, 2017
Finra bars former Morgan Stanley manager over expense reports

Barbara Waters oversaw administrators in firm's wealth management group.

NEWS INDUSTRY NEWS SEP 26, 2017
Finra awards $1.5 million to victims of broker fraud

Barred Michigan rep Christopher Tolmacs 'pocketed' money for funds.

YOUR PRACTICE FINTECH SEP 26, 2017
SEC creates cyber unit to eye firms and task force for investor protection

Initiatives aim to combat misconduct by financial firms online and fraud perpetrated against clients.

NEWS RIAS SEP 25, 2017
SEC says Colorado RIA lied about experience and past performance

Michael Moses falsely claimed 24% returns, and lost most of clients' money.