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InvestmentNews
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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.

INVESTING ALTERNATIVES MAY 17, 2017
Baird picks CAIS platform for hedge funds

Move will allow advisers to select single-manager hedge funds for the first time.

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.

YOUR PRACTICE PRACTICE MANAGEMENT MAY 16, 2017
Finra slaps broker with six-month suspension for failing to report $1 million in tax liens

Kevin Graetz was also fined $10,000 for not updating U4s over seven years.

NEWS INDUSTRY NEWS MAY 16, 2017
UBS veteran and $178 million team exit for Baird

Jeffrey Tolbert will manage firm's Oak Brook, Ill., office.

NEWS REGULATION AND LEGISLATION MAY 15, 2017
Finra reviewing rules on outside business activities and private securities transactions

As part of its review, Finra is seeking comments by June 29

Oppenheimer & Co. loses $420M broker, manager to Raymond James
YOUR PRACTICE PRACTICE MANAGEMENT MAY 15, 2017
Oppenheimer & Co. loses $420M broker, manager to Raymond James

Philadelphia-based Richard Grobman leaves with branch's administrative manager.

INVESTING MUTUAL FUNDS MAY 15, 2017
Fidelity launches two ESG index funds

The environmental, social and governance investments include a domestic and international offering.

YOUR PRACTICE FINTECH MAY 12, 2017
Power Financial invests $37 million in Wealthsimple as robo seeks bigger U.S. market share

Power, the Canadian parent of Putnam Investments and Great-West Financial, has now invested a total of $74 million in the robo-adviser