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InvestmentNews
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Finra bars former Cambridge rep over misuse of funds
RIA NEWS MAY 01, 2019
Finra bars former Cambridge rep over misuse of funds

Anselmo Contreras Jr. said to have borrowed $30,000 from clients.

Adviser duo managing $400 million exit Fieldpoint Private for Treasury Partners
RIA NEWS MAY 01, 2019
Adviser duo managing $400 million exit Fieldpoint Private for Treasury Partners

David Zoll and Sarah Pifer join New York firm, which is a unit of HighTower.

Adviser involved in college admissions probe revealed as Oppenheimer rep
REGULATION AND LEGISLATION APR 30, 2019
Adviser involved in college admissions probe revealed as Oppenheimer rep

Qui Xue Yang works at firm's Summa Group unit in Los Angeles.

SEC charges San Diego-area adviser with $7 million Ponzi scheme
REGULATION AND LEGISLATION APR 29, 2019
SEC charges San Diego-area adviser with $7 million Ponzi scheme

Christopher D. Dougherty charged with defrauding clients with fake private placements.

Adviser team managing $6 billion at Morgan Stanley creates RIA
RIA NEWS APR 29, 2019
Adviser team managing $6 billion at Morgan Stanley creates RIA

Houston-based Americana Partners is using Dynasty, Schwab and Addepar.

Adviser managing $166 million moves from UBS to Stifel
RIA NEWS APR 26, 2019
Adviser managing $166 million moves from UBS to Stifel

Mark Scaglione is based in the firm's Tampa, Fla., office.

Finra orders New Jersey broker-dealer to pay $205,000 over excessive trading
RIA NEWS APR 25, 2019
Finra orders New Jersey broker-dealer to pay $205,000 over excessive trading

Buckman, Buckman & Reid settles charges it failed to supervise two reps.

FWM to acquire Optima Fund Management
RIA NEWS APR 25, 2019
FWM to acquire Optima Fund Management

Merger of New York-based firms will create company managing $7 billion.

Six advisers managing $200 million switch from Cambridge to a Securities America OSJ
RIA NEWS APR 24, 2019
Six advisers managing $200 million switch from Cambridge to a Securities America OSJ

Meloria Wealth and Allied Financial link with Evolution Financial Advisors.

Merrill team managing $250 million moves to Stifel
RIA NEWS APR 24, 2019
Merrill team managing $250 million moves to Stifel

J.R. Koeijmans and Lance Whitworth join firm's Dallas office.