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

Reps collectively managed $423 million at their former firms.

NEWS RIAS AUG 28, 2017
Merrill Lynch loses $600 million team to Texas RIA

The three-member adviser team expands the footprint of Syntal Capital Partners.

NEWS INDUSTRY NEWS AUG 28, 2017
New charges against Dawn Bennett allege a $20 million scheme to defraud 46 investors

Ms. Bennett allegedly spent some of her ill-gotten gains on luxury goods, mystics and $500,000-a-year suite at AT&T Stadium in Dallas.

NEWS REGULATION AND LEGISLATION AUG 25, 2017
CFP Board issues interim suspension of Texas planner accused of diverting nearly $2M of client money

Action could lead to permanent suspension and revocation of his CFP certification.

NEWS RIAS AUG 24, 2017
San Diego duo managing $156 million joins Ameriprise

INVESTING MUTUAL FUNDS AUG 24, 2017
Invesco said to mull ETF-only Guggenheim deal

Buying just the exchange-traded funds would add $36 billion in assets to its PowerShares family

NEWS RIAS AUG 23, 2017
Merrill Lynch loses $150-million father-son team to Raymond James

John R. Edgecomb Sr. spent 37 years at Merrill, where his son joined him in 2007.

NEWS REGULATION AND LEGISLATION AUG 23, 2017
Broker agrees to Finra bar for engaging in unapproved securities transactions

Registered rep formed a company and then sold $1.74 million worth of shares to his brokerage clients.

YOUR PRACTICE PRACTICE MANAGEMENT AUG 23, 2017
SEC bars former broker imprisoned for $1.1 million fraud

Paul Elvidge got five years for forging clients' signatures and bilking accounts.

NEWS RIAS AUG 22, 2017
Los Angeles RIA charged with defrauding athlete and wife

Adviser allegedly hid the true amount of fees he was charging them, leading the couple to pay $1.2 million more than they thought they were being charged.