InvestmentNews

InvestmentNews
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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

NEWS REGULATION AND LEGISLATION AUG 30, 2017
Finra panel says barred broker must pay $540,000 in damages

Anthony Mastroianni Jr. allegedly engaged in "in and out" trading of speculative stocks.

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.

NEWS INDUSTRY NEWS AUG 29, 2017
Former HSBC broker barred for alleged senior scam

Finra says Jaime Rodriguez bought two apartments with $200,000 from blind, elderly customer.

NEWS INDUSTRY NEWS AUG 29, 2017
Raymond James adds Chicago advisers from Baird, JP Morgan

Reps collectively managed $423 million at their former firms.