InvestmentNews

InvestmentNews
Displaying 4011 results
RIA NEWS JAN 17, 2018
Merrill rep managing $115 million joins HighTower

Gayle Johnson based in Santa Fe, N.M., goes RIA.

RIA NEWS JAN 17, 2018
Ameriprise team managing $197 million joins Stifel

Tom Hankins and Jay Lauzon are based in Flint, Mich.

RIA NEWS JAN 17, 2018
Team managing $124 million at Raymond James moves to Ameriprise

Jose Lopez and Misael Lugo are joining the firm's employee channel in Orlando, Fla.

PRACTICE MANAGEMENT JAN 16, 2018
CFP Board appoints Kathleen McQuiggan special adviser on gender diversity

Succeeds Eleanor Blayney in efforts to address shortage of women in financial planning.

REGULATION AND LEGISLATION JAN 16, 2018
Finra bars broker involved with Dawn Bennett

Bradley Mascho already charged by SEC with abetting fraud.

FINTECH JAN 11, 2018
Envestnet adds easier document storage to Tamarac

Cloud-based system eliminates need for third-party.

RIA NEWS JAN 10, 2018
New Jersey bank moves $700 million program from Invest to Cetera

Investors Bank brokerage operation has 65 licensed representatives.

RIA NEWS JAN 09, 2018
Duo managing $180 million at RBC joins Alex. Brown

Broker Collin Rigler and associate Eric Montijo based in Los Angeles.

RIA NEWS JAN 09, 2018
A $1.2 billion super OSJ decides to stay with LPL

Advisors Southeastern Alliance was affiliated with INVEST Financial.

REGULATION AND LEGISLATION JAN 08, 2018
Finra panel awards investor $1.67 million in churning case

Broker David Lloyd Barber and Madison Avenue Securities to pay all fees, costs.