InvestmentNews News and Opinion http://www.investmentnews.com News and opinion from InvestmentNews.com en-us <![CDATA[Focus Financial IPO could be a sell signal for RIAs]]> <![CDATA[Ex-Edward Jones broker sues former firm, alleging racial bias]]> <![CDATA[$14 billion hybrid Sheridan Road staying with LPL, launching own RIA]]> <![CDATA[UBS loses $480 million team to Raymond James ]]> <![CDATA[Former hedge fund CFO barred, ordered to pay $227,500 penalty ]]> <![CDATA[Why advisory firm founders and successors can't get on the same page]]> <![CDATA[SEC proposes rules to make ETF research easier for broker-dealers]]> <![CDATA[Focus Financial files for an IPO valued at $100 million]]> <![CDATA[IRS warns taxpayers about using property taxes as 'contributions' to charity]]> <![CDATA[Meet William Glubiak, CEO of $2 billion firm Cedar Brook Group]]> <![CDATA[Piwowar defends SEC's best-interest rule]]> <![CDATA[Finra panel awards couple $800,000 in case against Oppenheimer ]]> <![CDATA[Wells Fargo loses $186 million team to Kestra]]> <![CDATA[In a first, University of Chicago settles 403(b) lawsuit for $6.5 million]]> <![CDATA[Former Royal Alliance broker arrested, charged with fraud]]> <![CDATA[Separating fact from fiction with fund investor behavior]]> <![CDATA[Exactly how rich is 'rich'?]]> <![CDATA[How 401(k) advisers can increase their fees]]> <![CDATA[From the C Suite with ProVise's Ray Ferrara: The best leaders know when it's time to follow]]> <![CDATA[Fintech leaders address adoption and integration ]]> <![CDATA[Insurers are selling off old annuity business and#x2014; what advisers need to know]]> <![CDATA[Former Barclays wealth management executive wins $2.7 million arb award from former firm]]> <![CDATA[Smartphones, emerging markets are pockets of value in today's market]]> <![CDATA[RIA in a Box acquired by private equity firm Aquiline Capital]]> <![CDATA[Merrill Lynch team managing $133 million moves to Janney ]]> <![CDATA[SEC bars Long Island broker for insider trading]]> <![CDATA[Reps managing $200 million at Summit Financial switch to Kestra ]]> <![CDATA[Wells Fargo loses two teams managing $780 million to Baird ]]> <![CDATA[Tax reform puts prenups in jeopardy]]> <![CDATA[Clayton: SEC left 'fiduciary' out of new advice rule to avoid investor confusion]]> <![CDATA[Morgan Stanley wants to double asset manager's size to $1 trillion]]> <![CDATA[UBS latest to make push for young, diverse advisers]]> <![CDATA[David Lerner compliance officer loses 'nonsensical' and 'specious' appeal over reporting tax liens ]]> <![CDATA[Running this bond ETF is like solving a $55 billion Rubik's Cube]]> <![CDATA[Connecticut RIA adds adviser managing $300 million]]> <![CDATA[Indexed annuity sales rise in Q1 as DOL fiduciary rule stalls]]> <![CDATA[Supreme Court decision likely to prevent brokers from filing class-action lawsuits]]> <![CDATA[What one thing would you do to assure your firm is competitive for the next decade?]]> <![CDATA[As it gets easier to start an ETF, is there still a role for white-label fund firms?]]> <![CDATA[5th Circuit denies states' second attempt to defend DOL fiduciary rule]]> <![CDATA[Roth conversions can boost Medicare premiums]]> <![CDATA[Ameriprise team managing $282 million moves to Commonwealth]]> <![CDATA[SEC official addresses criticism of best-interest standard for brokers]]> <![CDATA[Former Merrill broker suspended for check-kiting, fined $5,000]]> <![CDATA[Two Morgan Stanley brokers sue their old firm as they walk out the door]]> <![CDATA[Pass-through tax strategies for business-owner clients]]> <![CDATA[Envestnet Yodlee raises the bar with AI-powered apps]]> <![CDATA[Unlimited vacation time: a nice perk no one expects you'll use]]>
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<![CDATA[Arbitration over employment agreement nets adviser $267,000]]> <![CDATA[Finra anticipates oversight role for SEC advice rule ]]>