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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

Finra slams Oppenheimer with $3.75 million penalty

Mar 26, 2015

Firm failed to supervise broker who misappropriated $3 million and churned accounts, regulator said

$6 billion RIA Mercer sold in PE deal

Mar 25, 2015

Genstar Capital is buying the large Santa Barbara, Calif., RIA from former PE owners Lovell Minnick Partners

Insurance policy raises questions in Convergent suicide

Mar 20, 2015

Former CEO David Zier took out life insurance that later reimbursed investors in his outside fund, sources say

SEC shuts down ex-broker's attempt to start RIA from jail

Mar 19, 2015

David Cacchione almost got a second chance at a career in the securities industry through a registered investment adviser

Client losses total $44 million in 'Madoff of Main Street' case

Mar 19, 2015

Nearly half of the assets managed by Total Wealth Management are unaccounted for, according to an SEC receiver

Finra's BrokerCheck gets a facelift

Mar 17, 2015

Finra makes some information more prominent, but system still doesn't go far enough plaintiffs' attorneys say

Ex-NFL player left out in the cold after $2 million award

Mar 16, 2015

Bruce Wilkerson, a former tackle for the Green Bay Packers, not likely to recoup funds from defunct firm, according to his lawyer

Bigger & Better

Mar 16, 2015

By almost every measure, advisers with assets of more than $1 billion are outperforming their peers

Ex-Raymond James broker wins back $650,000 award

Mar 13, 2015

After a five-year legal battle, Raymond James owes ex-adviser Robert Fenyk back pay for his discrimination claims

Don Froude stepping down as president of Ameriprise's personal advisers group

Mar 13, 2015

Taking a lesser role at the firm, focusing on 'field initiatives and projects'

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