InvestmentNews

InvestmentNews
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REGULATION AND LEGISLATION NOV 22, 2017
Finra bars no-show former Raymond James bank broker

Edward Zadworny failed to provide information in connection with annuity sales.

FINTECH NOV 21, 2017
Finra updates and enhances Fund Analyzer tool

Advisers and investors will get better look at costs in 30,000 products

EQUITIES NOV 21, 2017
Advisers predict volatility will rise

Eaton Vance survey finds greater confidence among certain advisers.

RIA NEWS NOV 20, 2017
Retired Morgan Stanley rep fined for unsuitable advice

Timothy Gibbons over-concentrated elderly clients in energy investment.

REGULATION AND LEGISLATION NOV 17, 2017
Finra bars no-show ex-Woodbury rep

Regulator wanted to investigate Robert Hoffmann's trading recommendations.

INDEPENDENT BROKER DEALERS NOV 16, 2017
Financial Focus takes $446 million in assets from NPC to Securities America

Women-owned Carlsbad, Calif.-based firm specializes in serving women.

RIA NEWS NOV 16, 2017
Finra bars ex-broker for private securities deals

Jerry Lou Guttman was with United Planners' Financial Services.

FINTECH NOV 15, 2017
Digital disruption coming for asset managers, says Moody's

FANG gang may be eying business for its data value, not revenue.

LIFE INSURANCE AND ANNUITIES NOV 15, 2017
Finra fines Horner Townsend & Kent $275,000 over VA sales

Firm also censured for failure to supervise share class recommendations.

RETIREMENT PLANNING NOV 15, 2017
American Retirement Association adds Plan Sponsor Council of America

Umbrella group now will represent five retirement-related organizations.