T. Rowe Price names Rob Sharps president
Sharps succeeds Bill Stromberg, who remains the fund company's CEO and chairman. T. Rowe also named Céline Dufétel to the new position of chief operating officer.
Cresset hires $500 million Goldman adviser
Hanley Sayers will join the registered investment advisory firm in Houston, expanding Cresset's footprint to Texas.
CFP Board schedules exam for March
The CFP exam will again include a remote proctoring option for eligible candidates.
Planners increased pro bono work 7% during pandemic
CFP holders helped 7,839 underserved individuals last year, the Financial Planning Association says.
SEC charges former Minneapolis-area RIA with $2.25 million fraud
Isaiah Goodman of Becoming Financial Advisory Services allegedly siphoned off most of clients’ money and spent it on himself
Securities firm owner, late scammer’s trust ordered to cough up $2.7 million
SEC obtains judgments against Seth Leyton and the trust of the orchestrator of a fraud involving collateralized mortgage obligations.
UBS nabs J.P. Morgan Private Bank team managing $6.5 billion
The group of five advisers, which was with J.P. Morgan for nine years, will join UBS' Century City office in Los Angeles.
First Allied team managing $130 million forms own RIA
Mission Financial Group in Hawaii will retain its B-D affiliations through First Allied.
SEC charges repeat scammer with investment fraud
Stephen Moleski, who was arrested for a 1989 scheme, was alleged to be running an unregistered offering and acting as an unregistered broker.
IN Podcast: Getting serious about cannabis investing and RIA roll-ups
Nathan Parkins of MoLei Financial and Fincap Advisors joins Jeff and Bruce to discuss the differences between marijuana, hemp and CBD, how to invest and the outlook for the industry.