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Finra, investigating misuse of funds, bars former Edward Jones rep

January 17, 2018

The Financial Industry Regulatory Authority Inc. has barred Matthew Kerby, a former Edward Jones broker, for failing to take part in a hearing looking into allegations that he misused client funds. Mr. Kerby was employed by Edward Jones in Paoli,...

Merrill Lynch team managing $262 million goes indie at Raymond James

December 27, 2017

Glen D. Smith and Robert L. Casey, who managed $262 million at Merrill Lynch with two associates, have gone independent and affiliated with Raymond James. The team will operate as Glen D. Smith & Associates in Flower Mound, Texas, which is just...

Former H.D. Vest broker barred for noncooperation

November 22, 2017

The Financial Industry Regulatory Authority has barred former H.D. Vest broker Brian Royster for failure to provide information in connection with its investigation of his activities with clients. On January 12, 2017, H.D. Vest terminated Mr....

Morgan Stanley is waving the white flag on recruiting

October 31, 2017

Morgan Stanley announced on Monday that it is leaving the Protocol for Broker Recruiting. This should not surprise anybody who has been paying attention for the last year. Almost exactly a year ago, Morgan Stanley cut its recruiting deals in...

Finra awards 13 clients $5 million against rogue broker

October 26, 2017

A Finra arbitrator awarded more than $5 million to a group of 13 investors who claimed that a Georgia-based broker ruined their financial lives. The investors alleged that "their life savings and retirement assets were decimated" due to the...

Finra panel awards Edward Jones $340,000 in estate dispute

September 1, 2017

A Finra arbitration panel in Memphis, Tenn. has found that a military man acting as power of attorney for a client of Edward Jones should reimburse the firm for the damages it paid to the client, who is deceased. In its award, the Financial...

Financial advisers in Harvey's path ride out the Texas storm

August 28, 2017

Financial advisers and their clients are weathering Tropical Storm Harvey in classic Texas style: by hunkering down and helping each other as much as possible. "A lot of people are checking in to see how other people are doing, but nobody is...

Massachusetts securities chief William Galvin launches investigation of broker 'kickbacks'

August 15, 2017

Massachusetts' top securities regulator, Commonwealth Secretary William Galvin, launched an investigation Tuesday into charges that brokers were receiving 'kickbacks' for routing sales orders to certain stock exchanges. The probe was inspired...

Former Newport, Revere rep barred for failure to testify

August 11, 2017

Finra has barred former registered representative George Dahl for failure to provide testimony to its staff at a hearing that was looking into his conduct. In March 2016, the Financial Industry Regulatory Authority Inc. issued a letter of acceptance,...

Edward Jones loses $363 million adviser to Ameriprise

August 10, 2017

Paul Lang, an Edward Jones adviser managing $363 million in Roswell, Ga., has left the firm and joined the employee channel of Ameriprise Financial. Joining him in the move is adviser Emily Ellis. Mr. Lang, a veteran adviser, joined Edward Jones...

Finra bars former Edward Jones broker for no-show at hearing on client gifts

August 7, 2017

The Financial Industry Regulatory Authority Inc. has barred former Edward Jones broker James V. Marino for failing to appear at a hearing about allegations related to his acceptance of gifts and use of a client's credit card for his own benefit....

Industry groups opposing DOL fiduciary rule maximize spending on author of bill to kill measure

August 4, 2017

Several financial industry trade associations that oppose the Labor Department's fiduciary rule have maximized their campaign spending on the author of legislation that would kill the rule. In the first half of year, the Financial Services Institute,...

Edward Jones broker terminated over client gift is barred by Finra

August 3, 2017

The Financial Industry Regulatory Authority Inc. has barred a former Edward D. Jones broker for failing to appear for on-the-record testimony in connection with its investigation of his firm's allegation that he accepted a gift from a client...

Former Aegis Capital broker barred for skipping hearing

July 28, 2017

A former representative of Aegis Capital in Morgantown, W.Va., has been barred from the securities industry for failing to appear at a Finra hearing looking into his municipal bond trades, among other activities. The broker, Kenneth L. Jones,...

Wells Fargo team managing $351 million in Gainesville, Georgia, goes independent

July 20, 2017

A four-adviser team managing $351 million at Wells Fargo Advisors in Gainesville, Georgia, has created an independent hybrid firm whose brokerage unit is affiliated with LPL. The hybrid, Strong Gaddy Lee Wealth Management, said that Integrated...

Rehabilitating a besmirched reputation online can cost time and money

July 17, 2017

Few prospects walk into a financial adviser's office without doing an online background check first, so firms need to have a game plan for tracking and reacting to negative internet posts about the business or its advisers. Even someone who...

Edward Jones fined $750,000 over account aggregation violations

July 14, 2017

The Financial Industry Regulatory Authority Inc. has fined Edward Jones $750,000 for lacking an adequate supervisory system for use of account aggregation software. Over the period from April 2010 through 2014, Finra said Edward Jones "failed...

LPL to roll out new mutual fund platform as DOL fiduciary rule takes effect

July 13, 2017

LPL Financial announced Thursday it plans to roll out a new mutual fund platform to advisers early next year to eliminate perceived conflicts of interest in compensation as the Labor Department's fiduciary rule is set to take full effect. LPL,...

Acquiring new assets

June 26, 2017

The more you invest in clients, the more they are likely to invest in you. Edward Jones can help shed some light on key strategies and best practices that have been most successful in attracting new clients, building relationships and acquiring...

Strategies for sourcing and winning new clients

June 26, 2017

Finding clients can be one of your biggest challenges. Edward Jones uncovered critical insights on finding clients, how many strategies to use and which were most effective.

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