InvestmentNews

InvestmentNews
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INDEPENDENT BROKER DEALERS MAR 22, 2017
Merrill loses $350 million team to Raymond James

Five-person group joins employee unit in Williamsport, Pa.

RIA NEWS MAR 21, 2017
Raymond James attracts $350M Merrill team

Five-person group opens firm's first office in Williamsport, Pa.

RIA NEWS MAR 20, 2017
Clients aren't listening on purpose: behavioral finance report

RIA NEWS MAR 20, 2017
Adviser gets seven years for Ponzi scheme

Patrick Churchville of Providence, R.I., found guilty of conning investors out of $21 million.

PRACTICE MANAGEMENT MAR 20, 2017
Wells Fargo loses employee broker duo to Raymond James

Team in Virginia manages $138 million in assets.

MUTUAL FUNDS MAR 17, 2017
Small funds get less Morningstar attention, says industry watcher

Mutual Fund Observer finds many five-star small funds no longer covered.

RIA NEWS MAR 16, 2017
Former adviser sentenced to six months for insider trading

Ex-Oppenheimer employee in Providence must also forfeit $386,000

RETIREMENT PLANNING MAR 15, 2017
InvestmentNews expands retirement plan adviser coverage

<i>InvestmentNews</i> announced Wednesday that it is expanding its retirement plan adviser coverage by recruiting a nationally recognized expert of that growing market to help guide its efforts.

PRACTICE MANAGEMENT MAR 14, 2017
Wells Fargo loses a $500M team to Ameriprise

Four-person team joins firm's employee channel in Charleston, S.C.

REGULATION AND LEGISLATION MAR 14, 2017
J.P. Morgan moves ahead on dropping retirement commissions

Clients will be moved to self-directed accounts; bank may kill shift if DOL rule is dropped.