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InvestmentNews
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NEWS INDUSTRY NEWS MAY 30, 2017
Merrill Lynch loses $110 million duo to Raymond James

Veteran female team joins employee unit in Orlando, Fla.

NEWS RIAS MAY 30, 2017
SEC fines RIA $230,000 over conflicts

Agency says firm and its CEO failed to disclose fees.

RETIREMENT RETIREMENT PLANNING MAY 30, 2017
Retirement fees could rise 200% post-DOL, Chamber of Commerce warns

Report predicts 7 million holders of retirement accounts could lose investment advice.

NEWS INDUSTRY NEWS MAY 30, 2017
Wells Fargo loses $160 million broker to Voya

Employee broker goes indie as Sanders Wealth Management in Greenville, S.C.

INVESTING ALTERNATIVES MAY 26, 2017
New Jersey fines David Lerner Associates for nontraded REIT sales

Firm will pay $650,000 for suitability, compliance and books and records violations.

YOUR PRACTICE FINTECH MAY 25, 2017
Managed accounts a solution for many investors

Investors want help with investments, but sometimes they look beyond financial advisers.

NEWS INDUSTRY NEWS MAY 25, 2017
Merrill Lynch team managing $240 million moves to Raymond James

Two advisers and assistant join employee unit in Michigan.

YOUR PRACTICE PRACTICE MANAGEMENT MAY 25, 2017
Wells Fargo will ramp up spending to lure brokers

Wirehouse, after losing 400 brokers in first quarter, is bucking trend among rivals who have said they are going to cut back on spending big bucks recruiting veteran advisers

NEWS REGULATION AND LEGISLATION MAY 24, 2017
Texas legislature passes law protecting seniors from financial abuse

Once signed by governor, law will allow banks and securities firms not to process questionable transactions.

NEWS RIAS MAY 24, 2017
A Wells Fargo $180 million team starts an RIA

Three-person Guardian Financial Partners is based in Orange, Calif.