InvestmentNews

InvestmentNews
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NEWS RIAS JUL 27, 2017
Hanson McClain sells majority interest to private equity firm

Founders of the RIA will stay on and use proceeds to expand into new markets.

NEWS INDUSTRY NEWS JUL 27, 2017
Merrill Lynch loses two teams managing $500 million to Raymond James

Separate four-person and two-person groups join employee unit in Tucson, Ariz.

YOUR PRACTICE PRACTICE MANAGEMENT JUL 26, 2017
FS Investments promotes Mike Kelly to president

Will retain role as chief investment officer.

YOUR PRACTICE PRACTICE MANAGEMENT JUL 26, 2017
Former Morgan Stanley broker barred over claims of unsuitable trading

Anthony Vincent Ferrone refused to provide complete testimony at Finra hearing

NEWS REGULATION AND LEGISLATION JUL 26, 2017
Finra promotes Susan Schroeder to head unified enforcement effort

Ms. Schroeder had been serving as head of enforcement since the departure of Brad Bennett earlier this year.

NEWS REGULATION AND LEGISLATION JUL 25, 2017
RBC to pay $560,000 for transferring retiree's pension

Finra panel says Wyoming couple lost right to receive monthly benefits.

NEWS RIAS JUL 24, 2017
Near-record pace of M&A continues for RIA firms

Second-quarter saw 38 deals, says DeVoe report.

NEWS INDUSTRY NEWS JUL 20, 2017
Fifteen advisers, six firms named finalists by charitable foundation

Industry's top volunteers will receive Invest in Others Awards in September.

NEWS RIAS JUL 20, 2017
Merrill Lynch trio managing $463 million joins Ameriprise

Team switches firms but stays in Roseville, Calif.

NEWS RIAS JUL 20, 2017
Wells Fargo team managing $351 million in Gainesville, Georgia, goes independent

Strong Gaddy Lee Wealth Management chooses hybrid route with LPL.