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Mason Braswell

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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

Fired by Merrill, now barred by Finra: Thomas Buck stops here

Jul 28, 2015

Allegations tied to putting clients in unsuitable commission accounts and unauthorized trading

UBS' U.S. brokerage business not for sale: Sergio Ermotti

Jul 27, 2015

The chief executive of UBS Group AG denied rumors in a conference call with analysts

Advisers share stories about their worst clients ever

Jul 26, 2015

Lessons in how to deal with these types of clients, and even how to avoid them altogether

'Culture clash' led to $2.5 billion Merrill firing: Lawyer

Jul 24, 2015

An attorney for Marc Lowe said his client was discharged over flip-flops in the office and inappropriate language

Ex-Oppenheimer brokerage chief settles with SEC in penny stock case

Jul 23, 2015

Former head of the private client group Robert Okin agrees to bar and $125,000 payment in settlement; branch manager and broker also accept penalties

New BofA wealth chief to deepen bank ties

Jul 23, 2015

Terry Laughlin, who will take over for David Darnell as head of the company's wealth division, has background in business integration

Merrill fires $2.5 billion-plus adviser

Jul 22, 2015

Marc D. Lowe dismissed for "inappropriate workplace behavior;" circumstances still unclear

BofA wins dismissal of NFL star Dwight Freeney's $20 million suit

Jul 20, 2015

Attorney for Freeney said they plan to refile to address judge's concerns

Morgan Stanley head count dips to record low

Jul 20, 2015

Largest firm by number of advisers cedes ground with 3% one-year drop; executives point to shedding of lower producers

RIAs post record growth: Schwab survey

Jul 20, 2015

Markets and wealthier clients are driving up assets under management and profits

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