InvestmentNews

InvestmentNews
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NEWS RIAS SEP 11, 2017
SEC censures faith-based RIA over fees

Envoy Advisory, in Colorado, allegedly overcharged its minister clients.

NEWS INDUSTRY NEWS SEP 08, 2017
Janney loses rep with $207 million AUM to Wells Fargo

NEWS RIAS SEP 07, 2017
SEC says RIA stole $1 million from clients, using some of it to support gambling habit

Scott Newsholme allegedly stole $1 million, using funds for personal expenses, a gambling habit and to pay back early investors.

YOUR PRACTICE PRACTICE MANAGEMENT SEP 07, 2017
Ameriprise nabs brokers from Morgan Stanley, Wells Fargo

Reps managing $391 million join firm's employee unit.

NEWS INDUSTRY NEWS SEP 06, 2017
Finra fines former Merrill broker $10,000 for unauthorized stock purchases

Joseph Yanofsky arranged the buys without getting customers' approval.

YOUR PRACTICE PRACTICE MANAGEMENT SEP 05, 2017
Two Wells Fargo teams managing $345 million decamp for Raymond James

Brokers and staff in Baton Rouge, La., move to firm's employee unit.

NEWS REGULATION AND LEGISLATION SEP 05, 2017
Sen. Elizabeth Warren urges DOL to implement fiduciary rule without delay

She cites financial company leaders who have said they are prepared to comply with rule as is.

NEWS REGULATION AND LEGISLATION SEP 01, 2017
Former MetLife rep fined $15,000 for borrowing from clients

Finra also suspends the broker, a firm lifer, for 18 months

NEWS RIAS SEP 01, 2017
Finra panel awards Edward Jones $340,000 in estate dispute

Arbitration puts blame on client's power of attorney, not firm

RETIREMENT RETIREMENT PLANNING AUG 30, 2017
Most plan sponsors like their advisers, but 38% want to switch, says Fidelity

Survey finds top concerns are reducing plan expenses and managing fiduciary responsibilities.