InvestmentNews

InvestmentNews
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NEWS RIAS JUN 09, 2017
Houston-area RIA pleads guilty to $1.9 million mail fraud

Lawrence Allen DeShelter faces 20 years in prison.

NEWS REGULATION AND LEGISLATION JUN 08, 2017
Ex-Morgan Stanley rep investigated for trading abuses barred by Finra

Twenty-three year veteran Anthony Joseph Verzi decides not to testify during regulator's inquiry.

YOUR PRACTICE PRACTICE MANAGEMENT JUN 06, 2017
Billion-dollar Goldman Sachs adviser team moves to Dynasty

DG Wealth Partners in W. Palm Beach, Fla., previously managed $1 billion in assets.

YOUR PRACTICE PRACTICE MANAGEMENT JUN 05, 2017
Head of CFA Institute says financial professionals face 'existential' challenge

If finance exists to benefit clients, industry must advocate for change.

YOUR PRACTICE PRACTICE MANAGEMENT JUN 05, 2017
SEC charges Alpine Securities with failure to file suspicious activity reports

Agency says Utah broker-dealer failed to document suspicious microcap stock trades

NEWS INDUSTRY NEWS JUN 05, 2017
Investors do better with low-cost funds: Morningstar

Low-cost funds and automatic investing programs can help narrow gap between fund performance and investors' returns.

YOUR PRACTICE PRACTICE MANAGEMENT JUN 01, 2017
Finra censures and fines Sterne Agee for failing to supervise former CEO

Sterne Agee fired James Holbrook, Jr. in May 2014 for allegedly misusing company assets and spending lavishly on perks.

YOUR PRACTICE PRACTICE MANAGEMENT JUN 01, 2017
Stifel, UBS lose advisers to Wells Fargo's independent unit

Brokers in Missouri and Tennessee decide to take indie route.

NEWS WIREHOUSES JUN 01, 2017
Former Morgan Stanley rep barred by Finra for concealing Venezuelan bond trades

John Batista Bocchino hid $190 million in transactions, creating fake account firms and tickets

NEWS RIAS MAY 31, 2017
RMB Capital acquires VennWell

Deal adds $250 million in assets under management