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InvestmentNews
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From army officer to financial adviser
PRACTICE MANAGEMENT SEP 12, 2020
From army officer to financial adviser

‘More education’ should be given to firms about the benefits of hiring ex-military members

Rockefeller Capital woos Morgan Stanley team managing $500 million
PRACTICE MANAGEMENT SEP 11, 2020
Rockefeller Capital woos Morgan Stanley team managing $500 million

The five-person Moore Group will join the firm’s office in Dallas

Former Stifel broker ordered to pay $385,536 for fraud
REGULATION, LEGAL & COMPLIANCE SEP 10, 2020
Former Stifel broker ordered to pay $385,536 for fraud

SEC complaint charged Steven Rodemer with stealing funds from elderly client

Texas revokes license of rep for  Woodbridge Wealth sales
REGULATION, LEGAL & COMPLIANCE SEP 10, 2020
Texas revokes license of rep for Woodbridge Wealth sales

Kim Diane Butler breached fiduciary duty by receiving $300,000 in commissions on the sales

Wells Fargo adviser managing $500 million goes indie with LPL
INDEPENDENT BROKER DEALERS SEP 10, 2020
Wells Fargo adviser managing $500 million goes indie with LPL

Anthony Frigoletto forms River’s Edge Wealth Partners in Red Bank, New Jersey

Captrust acquires retirement business of Plante Moran
RETIREMENT PLANNING SEP 10, 2020
Captrust acquires retirement business of Plante Moran

Deal for Michigan-based unit adds $6.27 billion in institutional assets

The InvestmentNews podcast: The future of financial planning
PRACTICE MANAGEMENT SEP 09, 2020
The InvestmentNews podcast: The future of financial planning

Hosts Jeff Benjamin and Bruce Kelly and fellow InvestmentNews reporter Emile Hallez discuss how living longer and getting a better sense of longevity are changing financial planning

Doubleheader: Nicole Casperson on free robo-platforms and Todd Rosenbluth on semitransparent ETFs
FINTECH SEP 09, 2020
Doubleheader: Nicole Casperson on free robo-platforms and Todd Rosenbluth on semitransparent ETFs

This week’s podcast includes a discussion of the proliferation of free robo-platforms at large financial institutions and a look at the odd evolution of semitransparent ETFs

People of color feel ready for retirement but may not be, study finds
RETIREMENT PLANNING SEP 09, 2020
People of color feel ready for retirement but may not be, study finds

Allianz says their potential misinterpretation of the situation may put retirement at risk

Morgan Stanley team managing $383 million moves to Baird
INDEPENDENT BROKER DEALERS SEP 08, 2020
Morgan Stanley team managing $383 million moves to Baird

The four-person Parker Group will open a new branch for Baird in Columbia, Tennessee