Mason Braswell

Mason Braswell writes about all things related to wirehouses and registered investment advisers for InvestmentNews. Since graduating from New York University in 2012, he has been covering the business of financial advice. In his spare time, Mason can be found wandering the street of New York City with his camera. Follow him on Twitter @masonbraswell for updates on wirehouses, RIAs and regulatory issues facing the industry.

Mason Braswell
Displaying 414 results
Big Boston RIA Colony Group strikes again
NEWS INDUSTRY NEWS APR 13, 2015
Big Boston RIA Colony Group strikes again

Firm surpasses $5 billion in AUM in latest deal for $1.2 billion CapGroup Advisors.

Fired $1.3B Merrill broker speaks out
YOUR PRACTICE PRACTICE MANAGEMENT APR 08, 2015
Fired $1.3B Merrill broker speaks out

A 33-year veteran,Thomas Buck won't fight the wirehouse's allegations and is looking to move on after his sudden, unexpected termination

NEWS BROKER DEALERS APR 02, 2015
Brokerage executives enjoying steadily increasing payouts

As markets thrive and wealth management becomes a focus at major firms, brokerage execs like Morgan Stanley's Greg Fleming enjoy bigger paydays.

Finra slams Oppenheimer with $3.75 million penalty
NEWS REGULATION AND LEGISLATION APR 01, 2015
Finra slams Oppenheimer with $3.75 million penalty

Clients lost millions because the firm failed to supervise broker who misappropriated $3 million and churned accounts, the regulator said.

RETIREMENT RETIREMENT PLANNING MAR 31, 2015
Bigger & Better

NEWS BROKER DEALERS MAR 23, 2015
Merrill to pay $400,000 over telemarketing compliance shortfall

New Hampshire Bureau of Securities Regulation says B-Ds do not 'fully understand' how to comply with telemarketing rules.

YOUR PRACTICE PRACTICE MANAGEMENT MAR 23, 2015
Tony Robbins pumps up advisers

Offers a glimpse of coaching program and outlines industry goals.

Morgan Stanley's Hunger Games-inspired video they don't want you to see
YOUR PRACTICE PRACTICE MANAGEMENT MAR 20, 2015
Morgan Stanley's Hunger Games-inspired video they don't want you to see

The straitlaced wirehouse pulled the plug on this 10-minute spoof of the popular "Hunger Games" series. But did it go too far? You decide.

NEWS RIAS MAR 20, 2015
Convergent, rocked by suicide of CEO, announces replacement

A little over two months after the suicide of its CEO, $8.4 billion RIA Convergent appoints chief operating officer Douglas Wolford as a replacement.

SEC shuts down ex-broker's attempt to start RIA from jail
YOUR PRACTICE PRACTICE MANAGEMENT MAR 19, 2015
SEC shuts down ex-broker's attempt to start RIA from jail

David Cacchione almost got a second chance at a career in the securities industry through a registered investment adviser.