InvestmentNews

InvestmentNews
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WIREHOUSES MAY 02, 2017
Former Merrill Lynch broker convicted of wire fraud

Jesse Joseph Holovacko took $255,000 from client IRA claiming to buy bonds.

RIA NEWS MAY 02, 2017
$400 million Merrill Lynch rep moves to Raymond James

Michael Jeppson goes indie in Manhattan Beach, Calif.

RIA NEWS MAY 02, 2017
Merrill Lynch veteran moves to Raymond James

Walter Stamper of Chattanooga, Tenn., managed $147 million.

RIA NEWS MAY 02, 2017
Wells Fargo's FiNet loses $300 million team to HighTower

Synergy Capital Solutions has offices in Illinois, Florida and Michigan.

REGULATION, LEGAL & COMPLIANCE MAY 02, 2017
Court enters judgment against Connecticut adviser for Ponzi scheme

Mark J. Varacchi may have to return $3.95 million his firm allegedly stole from investors.

REGULATION, LEGAL & COMPLIANCE APR 28, 2017
Finra bars former broker for unsuitable trades

In one example, Scott Allen Sibley allegedly exposed risk-averse retiree to naked options.

WIREHOUSES APR 27, 2017
Merrill Lynch veteran moves to Raymond James

Walter Stamper of Chattanooga, Tenn., managed $147 million

RIA NEWS APR 27, 2017
Jailed former LPL rep faces SEC fraud charges

Ex-broker now accused of violating securities laws with fictitious investments

PRACTICE MANAGEMENT APR 26, 2017
Nationwide Securities loses hybrid team to LPL

Four-person advisory group in Charleston, S.C., manages $178 million

LIFE INSURANCE AND ANNUITIES APR 26, 2017
Finra issues complaint against broker for unsuitable variable annuity sales

Walter Marino allegedly profited from advising elderly clients to buy new contracts.