InvestmentNews

InvestmentNews
Displaying 3990 results
NEWS INDUSTRY NEWS MAY 23, 2017
Wells Fargo loses $130 million team to Raymond James

Father-and-son team based in Omaha, Neb., remain in employee channel.

INVESTING MUTUAL FUNDS MAY 23, 2017
Popularity of index funds and ETFs driving down average costs: Morningstar

Average net expense of all mutual funds drops to 0.57%.

NEWS INDUSTRY NEWS MAY 23, 2017
Rep barred for paying credit card bills with client money

Former Wells Fargo broker consents to Finra ban for improper transfers from customer accounts.

NEWS BROKER DEALERS MAY 22, 2017
Cambridge loses $120 million team to LPL

Five-person group based in Reading, Pa., affiliates with hybrid arm.

NEWS REGULATION AND LEGISLATION MAY 22, 2017
Regulation, politics dominate adviser concerns, survey finds

Inflation worries grow, but still rank at bottom, Fidelity says.

NEWS RIAS MAY 22, 2017
$160 million Merrill Lynch team exits for HighTower

Advisers forming RIA in West Palm Beach, Fla.

NEWS RIAS MAY 18, 2017
Wells Fargo FiNet loses $275 million team to Raymond James

Five-person Holloway Harman & Associates is based in Kansas City, Mo.

NEWS INDUSTRY NEWS MAY 17, 2017
D.A. Davidson advisers managing $177 million leave for Raymond James

Ken Robbins and two-person team join firm's employee unit in Los Angeles.

NEWS WIREHOUSES MAY 17, 2017
Finra fines Merrill Lynch $650,000 for bond trading violations

Regulator censures firm for handling of customer orders for nonconvertible preferred securities

INVESTING ALTERNATIVES MAY 17, 2017
Addepar acquires AltX to expand in alternatives

Addition of machine-learning technology is intended to enhance value to advisers and clients.