InvestmentNews

InvestmentNews
Displaying 4006 results
NEWS RIAS MAR 28, 2018
Brown Advisory acquires $1 billion Meritage Capital

Austin, Texas-based Meritage's eight-person team will join larger firm's office.

NEWS INDUSTRY NEWS MAR 27, 2018
Not yet a broker, yet barred by Finra

Holly Arbuckle opted out of testifying at inquiry.

NEWS REGULATION AND LEGISLATION MAR 27, 2018
Finra bars former rep who provided 'inaccurate auto-loan information'

Cody Rock resigned from State Farm in September.

NEWS REGULATION AND LEGISLATION MAR 27, 2018
Finra bars former Morgan Stanley adviser over hearing no-show

Regulator was investigating Matthew Singer's options recommendations.

YOUR PRACTICE PRACTICE MANAGEMENT MAR 27, 2018
SEC blasts Wedbush for ongoing failure to supervise

Agency says firm failed to take action against pump-and-dump fraud.

NEWS INDUSTRY NEWS MAR 26, 2018
Finra asks hearing panel to sanction test cheater

Former National Planning rep Jason David took break during exam.

NEWS REGULATION AND LEGISLATION MAR 26, 2018
Finra bars no-show broker discharged for unauthorized trading

LPL terminated registration of Sanders Spangler for violating company policy.

NEWS RIAS MAR 26, 2018
Merrill Lynch loses $1 billion Georgia team to RIA channel

Four-adviser group in Savannah creates Sounds View Wealth Advisors.

YOUR PRACTICE FINTECH MAR 23, 2018
Wealthfront valuation reportedly slashed by about a third in most-recent funding round

Those familiar point to rising competition and dented optimism as possible contributors.

NEWS INDUSTRY NEWS MAR 23, 2018
Brokers must pay clients $845,000 arbitration award

Two were involved in defrauding 100 investors out of $15 million in penny stock fraud case.