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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

Morgan Stanley shuffles Greg Fleming's role in surprise move

Oct 2, 2015

Long-time industry vet gives up investment management role to lead the wealth unit full time

Morgan Stanley hit with racial discrimination suit

Oct 1, 2015

As part of her claim, ex-broker alleges the wirehouse's recent move toward mandatory arbitration is an attempt to prohibit employees from publicly challenging unfair practices

State securities regulators put out proposal to protect seniors

Sep 30, 2015

Proposal would clarify brokers' and advisers' responsibilities in cases of suspected elder abuse

At Edward Jones, it's still one person, one office

Sep 29, 2015

Company bucks industry trend toward forming broker teams

SEC, Finra fine UBS $34 million over Puerto Rico funds

Sep 29, 2015

Fine related to two actions from the SEC and Finra over sales of closed-end bond funds and a former broker's fraud

Breaking away for the wrong reason

Sep 27, 2015

Regulators are concerned that brokers are jumping into the RIA channel to take advantage of a lax regulatory climate

LPL faces reckoning from activist investor

Sep 25, 2015

With giant broker-dealer's stock down 25% from its high last year, experts say Marcato could push for major changes

Struggling broker-dealer Fintegra files for bankruptcy

Sep 24, 2015

Most brokers moving to Securities America in wake of $1.5 million arbitration award

UBS scoops up $1.3 billion Merrill private banking team

Sep 23, 2015

Group of three advisers produced $7.8 million in revenue

Activist investor takes 6% stake in LPL Financial, sending stock higher

Sep 22, 2015

Marcato Capital says shares of the independent broker-dealer are undervalued at current levels

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