InvestmentNews

InvestmentNews
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NEWS INDUSTRY NEWS SEP 25, 2017
Finra sanctions Morgan Stanley over UIT sales

The firm will pay $13 million in fines and restitution for failure to supervise.

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.

RETIREMENT RETIREMENT PLANNING SEP 22, 2017
University of Pennsylvania wins retirement plan suit

Ivy League school is first elite university to win complete dismissal of such a lawsuit.

NEWS REGULATION AND LEGISLATION SEP 21, 2017
Broker fired by Sun Trust for expense violations agrees to Finra bar

Gregory S. Brent declined to provide testimony for Finra inquiry into his termination.

NEWS RIAS SEP 20, 2017
CAPTRUST acquires Davidson & Garrard, a $700 million RIA

Lynchburg, Va.-based advisory firm has 13 employees.

NEWS INDUSTRY NEWS SEP 20, 2017
Former rep barred after double-dipping on credit card

Marc Ravenscroft kept reimbursement after receiving charge reversal.

INVESTING ALTERNATIVES SEP 20, 2017
Massachusetts blasts SII over non-traded REIT sales

Securities regulator says firm failed to supervise agents over suitability.

NEWS INDUSTRY NEWS SEP 19, 2017
SEC bars rep sentenced for securities fraud

Gerald Cocuzzo involved in $131 million market manipulation scheme.

NEWS RIAS SEP 18, 2017
SEC bars former rep for alleged share price manipulation

George Thoreson tried to keep penny stock's price high to enable Nasdaq listing.

INVESTING ESG SEP 18, 2017
Impax Asset Management to acquire Pax World

Move will create global sustainable investing firm managing $13.9 billion