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Team managing $381 million leaves Wells Fargo for Baird
RIA NEWS MAR 04, 2019
Team managing $381 million leaves Wells Fargo for Baird

Robert Schrieber, three advisers and three staff will join firm in Elgin, Ill.

Finra disciplinary actions packed $107,000 average punch in 2018
LIFE INSURANCE AND ANNUITIES MAR 04, 2019
Finra disciplinary actions packed $107,000 average punch in 2018

HSA assets should hit $75 billion by end of 2020, study projects
RETIREMENT PLANNING FEB 28, 2019
HSA assets should hit $75 billion by end of 2020, study projects

Researcher Devenir says number of accounts grew 13% last year to 25 million.

Adviser managing $190 million leaves Wells Fargo for Alex. Brown
RIA NEWS FEB 28, 2019
Adviser managing $190 million leaves Wells Fargo for Alex. Brown

Elana Milianta will work in firm's Greenwich, Conn., office.

Chicago-area 'adviser' convicted in $10 million swindle
RIA NEWS FEB 27, 2019
Chicago-area 'adviser' convicted in $10 million swindle

Shawn Baldwin found guilty on seven counts of wire fraud.

RIA NEWS FEB 26, 2019
Advisers serving $800 million in assets leave Ameriprise for LPL

Intellectual Capital Group is based in Spring Lake, N.J.

Outsourcing is route to greater growth, Fidelity study finds
PRACTICE MANAGEMENT FEB 26, 2019
Outsourcing is route to greater growth, Fidelity study finds

Information technology, investment management and legal/compliance are the top three outsourced functions

Creative Planning makes first acquisition, adding $500 million in AUM
RIA NEWS FEB 26, 2019
Creative Planning makes first acquisition, adding $500 million in AUM

Minneapolis-based Johnston Group will increase presence in Northern Plains.

UBS team managing $738 million near Detroit leaves for Raymond James
RIA NEWS FEB 25, 2019
UBS team managing $738 million near Detroit leaves for Raymond James

Eleven-member group will join RJ's employee unit in Birmingham, Mich.

SEC settles fraud case with jailed former Morgan Stanley adviser
REGULATION, LEGAL & COMPLIANCE FEB 22, 2019
SEC settles fraud case with jailed former Morgan Stanley adviser

James Polese has already paid $355,000 in restitution as a result of his criminal case.