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Mason Braswell


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.

Recent Articles

Voya takes on bigger rivals with new RIA channel

Sep 3, 2015

New platform will let the firm offer affiliation options like those at larger broker-dealers such as LPL and Raymond James

RIA M&A off to roaring start in 2015

Sep 2, 2015

Firms are making more and bigger deals as market growth boosts valuations and fuels activity

Larry Roth steps down from RCAP board after four months

Sep 1, 2015

Company says he is focusing on his role as CEO of Cetera Financial Group

UBS scoops up $950M Morgan Stanley team

Aug 28, 2015

Team of four had $5.6 million in production; hire is latest in string of big recruits

Morgan Stanley hit with $20M whistleblower suit from ex-brokers

Aug 27, 2015

Couple claim they were retaliated against after reporting illegal sales tactics at the firm's midtown Manhattan office

UBS signs up advisers with $870 million AUM from Merrill Lynch

Aug 26, 2015

Four advisers previously brought in $4.6 million in annual revenue

Ex-Merrill broker ordered to pay $1.4 million in insider trading case

Aug 26, 2015

Gary Yin, who pleaded guilty to laundering a client's insider trading profits, must pay restitution to Merrill but avoids prison sentence

Robo-advisers face first reckoning in downturn

Aug 24, 2015

Market volatility shows importance of communication as robos look to get out in front of nervous clients

Finra sweep homes in on conflicts in broker pay

Aug 20, 2015

The regulator is examining a broad range of possible conflicts, from production incentives and mutual fund fees to recruiting bonuses

SEC fines RIA $2.8 million and bars owner in 'Madoff of Main Street' case

Aug 18, 2015

Holds owner of Total Wealth Management, Jacob Cooper, liable in case where losses are expected to total as much as $44 million

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