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Duo managing $330 million moves to Raymond James from Wells Fargo
NEWS INDUSTRY NEWS DEC 05, 2019
Duo managing $330 million moves to Raymond James from Wells Fargo

Todd Hamilton and Robert Thompson join firm's employee unit in Chicago.

'Text me,' say clients, but many B-Ds don't allow it
NEWS INDUSTRY NEWS DEC 05, 2019
'Text me,' say clients, but many B-Ds don't allow it

Almost nine out of 10 advisers believe clients want to text, Redtail survey finds.

Creative Planning to acquire $300M RIA
NEWS INDUSTRY NEWS DEC 03, 2019
Creative Planning to acquire $300M RIA

Creative Planning to acquire $300 million Hogan Financial Firm founded by Paula Hogan is based in Milwaukee, Wis.

Adam Antoniades promoted to CEO of Cetera
NEWS INDUSTRY NEWS DEC 03, 2019
Adam Antoniades promoted to CEO of Cetera

Takes reins from chairman and interim CEO Ben Brigeman.

Team managing $550 million at Northwestern Mutual goes indie with LPL
NEWS INDUSTRY NEWS DEC 02, 2019
Team managing $550 million at Northwestern Mutual goes indie with LPL

Thirteen-member Gatewood Wealth Solutions is based in St. Louis.

SEC bars former Securities America rep over $1 billion Ponzi scheme
NEWS REGULATION AND LEGISLATION DEC 02, 2019
SEC bars former Securities America rep over $1 billion Ponzi scheme

Ronald J. Roach concocted financial statements to show revenue at solar energy company.

Millennial advisers see technology as key to winning clients
YOUR PRACTICE FINTECH DEC 02, 2019
Millennial advisers see technology as key to winning clients

They are more than twice as likely as baby boomer advisers to beef up web sites, mobile technology, cybersecurity.

NEWS INDUSTRY NEWS DEC 01, 2019
Sheryl Garrett changed an industry when she set out to serve clients by the hour

SEC charges Texas 'broker' with illegally selling Woodbridge securities
NEWS REGULATION AND LEGISLATION NOV 26, 2019
SEC charges Texas 'broker' with illegally selling Woodbridge securities

Unregistered Brett Pittsenbargar sold $18 million of fraudulent paper to at least 45 investors.

SEC charges Arizona man with defrauding elderly investors
NEWS REGULATION AND LEGISLATION NOV 25, 2019
SEC charges Arizona man with defrauding elderly investors

Agency said Conrad Coggeshall raised $700,000 from four investors that he claimed was going to be invested in an M&A firm.