InvestmentNews

InvestmentNews
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NEWS RIAS FEB 23, 2017
Breakaway UBS, Morgan Stanley teams form $750M RIA

NEWS RIAS FEB 23, 2017
Triad nabs Resources Investment Advisors, the $5 billion hybrid that left LPL

The Kansas-based firm is a super OSJ that provides compliance and marketing support for 11 independent advisory practices

YOUR PRACTICE PRACTICE MANAGEMENT FEB 22, 2017
Purshe Kaplan Sterling to pay $3.4M in restitution for overcharging Native American tribe

Firm will also pay a $750,000 fine to Finra for failing to supervise broker who sold tribe non-traded REITs and BDCs.

NEWS INDUSTRY NEWS FEB 21, 2017
B. Riley Financial buys FBR for $160 million

Combination of investment banks will add to presence in small-cap market.

YOUR PRACTICE PRACTICE MANAGEMENT FEB 21, 2017
Former Wells Fargo broker barred for parking fraud

The broker allegedly used the firm's parking garage stamp to validate parking garage tickets worth $731.

YOUR PRACTICE FINTECH FEB 17, 2017
Orion Advisor Services adds trading and rebalancing platform

Straight-through trade processing now possible, says portfolio accounting service provider.

YOUR PRACTICE PRACTICE MANAGEMENT FEB 17, 2017
Acting SEC chair scales back enforcement unit's subpoena powers

In a roll-back of post-Madoff change, requests will go through acting division director, say sources.

YOUR PRACTICE PRACTICE MANAGEMENT FEB 16, 2017
U.S millionaire households hit 6.8 million

Count is up 4% over 2015; percentage of millionaires is flat and wealth more concentrated

YOUR PRACTICE FINTECH FEB 15, 2017
AdvisorEngine acquires Wealthminder

Wealth management platform now will offer adviser-client collaboration tool

YOUR PRACTICE PRACTICE MANAGEMENT FEB 15, 2017
Report shows few advisers examined by California oversight office

State's Department of Business Oversight examined only 6.2% of state-registered investment advisers and 0.8% of broker-dealers in 2015-16.