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Finra bars former America Northcoast rep over unsuitable ETF trades
MUTUAL FUNDS MAY 10, 2019
Finra bars former America Northcoast rep over unsuitable ETF trades

Dominic Tropiano made 52 trades in two customers' accounts without their knowledge.

Only 13% of adult children would use parents' adviser: Cerulli
PRACTICE MANAGEMENT MAY 09, 2019
Only 13% of adult children would use parents' adviser: Cerulli

Almost 9 in 10 said they never even considered it.

California hybrid managing $200 million switches from Cetera to SA Stone
RIA NEWS MAY 09, 2019
California hybrid managing $200 million switches from Cetera to SA Stone

SB Wealth of San Clemente will use firm's broker-dealer and RIA.

Cresset acquires $500 million Cypress Wealth Advisors
RIA NEWS MAY 02, 2019
Cresset acquires $500 million Cypress Wealth Advisors

Acquisition brings two-year-old Cresset's AUM to $4.5 billion.

Cerity Partners acquires $500 million hybrid
RIA NEWS MAY 02, 2019
Cerity Partners acquires $500 million hybrid

Fort Worth-based Karsten Advisors has offices in Texas and Colorado.

UBS adviser team managing $300 million goes indie with Raymond James
RIA NEWS MAY 01, 2019
UBS adviser team managing $300 million goes indie with Raymond James

Lori Siegel and Robert Russo form Centrix Wealth Partners in Houston.

Top RIAs view talent and technology as biggest challenges
RIA NEWS MAY 01, 2019
Top RIAs view talent and technology as biggest challenges

They want more bang for big tech bucks, poll of advisers by Pershing finds.

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, LEGAL & COMPLIANCE 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.