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InvestmentNews
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'Whopper' UBS broker sentenced to prison for Puerto Rico bond fraud
REGULATION AND LEGISLATION MAR 27, 2019
'Whopper' UBS broker sentenced to prison for Puerto Rico bond fraud

Jose Ramirez pleaded guilty to misusing credit lines to purchase securities.

Fidelity creates workplace charitable-giving program
RIA NEWS MAR 25, 2019
Fidelity creates workplace charitable-giving program

Plan sponsors can integrate philanthropy into employee-benefit plan, fund giant says.

Merrill Lynch settles with SEC over ADR trading abuses
REGULATION AND LEGISLATION MAR 22, 2019
Merrill Lynch settles with SEC over ADR trading abuses

Firm will pay more than $8 million for mishandling 'pre-released' ADRs.

Hybrid managing $459 million switches to Securities America from Ameriprise
RIA NEWS MAR 22, 2019
Hybrid managing $459 million switches to Securities America from Ameriprise

Syntegra Private Wealth Group has three offices in the St. Louis, Mo., area.

5 tips for people who don't have the money to pay their tax bill
RIA NEWS MAR 21, 2019
5 tips for people who don't have the money to pay their tax bill

Do file your return, even if you can't afford to pay what you owe.

Adviser managing $230 million at Merrill Lynch moves to Alex. Brown
RIA NEWS MAR 21, 2019
Adviser managing $230 million at Merrill Lynch moves to Alex. Brown

Jon Dayton will join office of Raymond James unit in San Francisco.

Advisers charged with 'gambling away' millions from clients
REGULATION AND LEGISLATION MAR 20, 2019
Advisers charged with 'gambling away' millions from clients

Oakdale Wealth Management's James Daly and Michael O'Keeffe of Massachusetts may be fined and censured.

Janney acquires FIG Partners of Atlanta
RIA NEWS MAR 19, 2019
Janney acquires FIG Partners of Atlanta

Acquisition adds strength in community bank deals.

Captrust acquires two firms and $2.9 billion in AUM
RIA NEWS MAR 19, 2019
Captrust acquires two firms and $2.9 billion in AUM

Watermark in California caters to individuals; Rogers in Virginia focuses on retirement plans.

Cresset Asset Management acquires $500 million RIA
RIA NEWS MAR 19, 2019
Cresset Asset Management acquires $500 million RIA

Evanston Advisors increases firm's market share in Chicago area.