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NEWS INDUSTRY NEWS OCT 14, 2019
JPMorgan Chase Adviser Goes Indie with LPL, Managing $100 Million

Joseph Mazzucco starts Stonebrook Wealth Management in Purchase, N.Y.

NEWS INDUSTRY NEWS OCT 14, 2019
Wells Fargo adviser managing $250 million moves to Alex. Brown

Eric Dexter opens office for firm in Portland, Maine.

NEWS INDUSTRY NEWS OCT 11, 2019
Indie managing $245 million switches to Raymond James from Ameriprise

Hendel Wealth Management Group and its three-adviser team are based in Smithtown, N.Y.

NEWS INDUSTRY NEWS OCT 05, 2019
There's more evolution than revolution in zero commissions

The elimination of commissions on trades was just a matter of time.

Finra panel orders Stifel to pay $1.5 million to clients
NEWS INDUSTRY NEWS OCT 04, 2019
Finra panel orders Stifel to pay $1.5 million to clients

Sum constitutes compensatory damages for breach of duties.

NEWS INDUSTRY NEWS OCT 04, 2019
Finra panel orders Stifel to pay $1.5 million to clients

Sum constitutes compensatory damages for breach of duties.

Trump to outline new vision for Medicare
NEWS INDUSTRY NEWS OCT 03, 2019
Trump to outline new vision for Medicare

An executive order regarding the Medicare system is titled "Protecting Medicare from Socialist Destruction."

Nashville hybrid managing $150 million switches to SA Stone
NEWS INDUSTRY NEWS OCT 03, 2019
Nashville hybrid managing $150 million switches to SA Stone

The company and an RIA affiliate are units of the former Sterne Agee

Finra censures, fines UBS $2 million over muni improprieties
NEWS INDUSTRY NEWS OCT 02, 2019
Finra censures, fines UBS $2 million over muni improprieties

Regulator says firm inaccuarately represented tax status of interest payments to clients.

Boston advisory firm acquires $160 million hybrid
NEWS INDUSTRY NEWS OCT 02, 2019
Boston advisory firm acquires $160 million hybrid

Both firms use LPL Financial as their broker-dealer.