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InvestmentNews
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Will Finra’s rogue broker rule go far enough?
NEWS OPINION JAN 13, 2020
Will Finra’s rogue broker rule go far enough?

The problem won’t go away if it’s regarded solely as an issue for smaller firms

Outlook on ETFs
INVESTING MUTUAL FUNDS JAN 13, 2020
Outlook on ETFs

A weekly video produced by InvestmentNews on U.S. investing trends

Wells Fargo team with $800 million moves to Raymond James
NEWS BROKER DEALERS JAN 10, 2020
Wells Fargo team with $800 million moves to Raymond James

Daniel Kaschmitter and William Gelegotis are joining the employee unit in Salt Lake City

Mercer acquires $140 million RIA CCP
NEWS RIAS JAN 09, 2020
Mercer acquires $140 million RIA CCP

The staff of CCP will join an existing Mercer office in Chicago

Fidelity will offer HSAs on its brokerage, RIA platforms
NEWS INDUSTRY NEWS JAN 09, 2020
Fidelity will offer HSAs on its brokerage, RIA platforms

The company’s $5.4 billion health savings account will be open to clearing and custody customers

SEC charges barred ‘adviser’ with fraud
NEWS REGULATION AND LEGISLATION JAN 08, 2020
SEC charges barred ‘adviser’ with fraud

Thomas Renison, who was barred by the SEC in 2014, raised $6 million in scam

Nationwide offers app helping consumers deal with debt
YOUR PRACTICE FINTECH JAN 08, 2020
Nationwide offers app helping consumers deal with debt

‘Owe is me,’ according to Nationwide survey, which shows almost half of Americans are stressed by debt

SEC bars broker connected to Dawn Bennett scam
NEWS REGULATION AND LEGISLATION JAN 08, 2020
SEC bars broker connected to Dawn Bennett scam

Bradley Mascho, formerly with Western International Securities, agrees he abetted fraud

Finra bars two no-show brokers
NEWS REGULATION AND LEGISLATION JAN 07, 2020
Finra bars two no-show brokers

Shlomo Strugano and John Chrysadakis allegedly falsified documents

Blucora to acquire $4.4 billion RIA based in Iowa
NEWS RIAS JAN 07, 2020
Blucora to acquire $4.4 billion RIA based in Iowa

Parent of the former HD Vest specializes in tax-oriented wealth management