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Wells Fargo team managing $325 million moves to Raymond James

November 15, 2019

James Alioto and Florence Alioto-Prospero, a father-daughter team managing $325 million at Wells Fargo Advisors in Waukesha, Wis., have joined the employee unit of Raymond James. [More:​ See more adviser moves in InvestmentNews' Advisers on...

Finra bars former Raymond James rep discharged over loans

November 14, 2019

The Financial Industry Regulatory Authority Inc. has barred Lance Roman Armstrong, formerly a broker with Raymond James, for failing to take part in an investigation looking into allegations that he borrowed money from customers. [More: No bonuses...

Team managing $240 million at Merrill Lynch joins Raymond James

November 13, 2019

Vic Howie and Paige Passerallo, who managed $240 million at Merrill Lynch in Charlotte, N.C., have joined the employee unit of Raymond James. [More:​ See more adviser moves in InvestmentNews' Advisers on the Move database.] Moving with them...

Financial firms say they are making inroads in creating more diverse workforce

November 13, 2019

The financial advice profession will become more diverse over the next several years if the training programs of some major firms are any indication. Executives at Merrill Lynch, Chase Wealth Management and Morgan Stanley told the audience at...

Merrill duo managing $241 million goes indie with Raymond James

November 5, 2019

Jimmy Blackburn and Reed Potter, Jr., who managed $241 million at Merrill Lynch in Pikeville, Ky., have formed their own firm, Legacy Financial Investment Services, and affiliated with Raymond James. [Recommended video: Mary Beth Franklin: Good...

What zero commissions mean for B-Ds

November 2, 2019

Discount broker Charles Schwab Corp., the biggest adviser custodian, has been shaking up the securities and financial advice industries for decades. Its move last month to eliminate commissions for most online trades is only the latest in the...

Four-rep team from RBC managing $240 million moves to Raymond James

October 30, 2019

Kevin Bannister, Mark Raney, Nevin Cavanaugh, and Hobie Bannister, who managed $240 million at RBC Wealth Management, have moved to the employee unit of Raymond James. [More: See more adviser moves in InvestmentNews' Advisers on the Move database.]...

Raymond James to pay $3.2 million to customers hurt by oil and gas investments

October 30, 2019

Finra arbitrators ordered Raymond James and Associates Inc. to pay $3.2 million to more than two dozen customers over unauthorized trading in oil and gas ventures. The three-person all-public Financial Industry Regulatory Authority Inc. panel...

LPL, Raymond James led gains in adviser headcount last quarter

October 29, 2019

Two large independent broker-dealers racked up strong recruiting gains in the third quarter, while all four wirehouses lost advisers on a net basis in the period. LPL Financial, the nation's largest IBD, had a net gain of 94 advisers, while...

Finra bars former Raymond James rep over churning allegations

October 28, 2019

The Financial Industry Regulatory Authority Inc. has barred former Raymond James representative Stuart Nichols for failing to take part in an inquiry looking into his trading activities at the firm. [Recommended video: Why aren't people joining...

Finra fines BNP Paribas $15 million for AML violations

October 24, 2019

The Financial Industry Regulatory Authority Inc. has fined BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage Inc. $15 million for failures in anti-money laundering (AML) programs and for supervisory failures that involved penny stock...

Heads of Raymond James, Ameriprise say race to zero is getting murky

October 24, 2019

The financial advice industry's race to zero fees and commissions is getting confusing, with two top executives at major firms wondering today what UBS Financial Services' elimination of fees on separately managed accounts is all about. Are...

UBS eliminating SMA management fees

October 22, 2019

UBS Financial Services is entering the race to zero.​ In an internal memo, the Swiss bank announced it is eliminating management fees on select separately managed accounts. While there is no specific price set on SMAs, clients typically pay...

Merrill Lynch trio managing $256 million moves to Ameriprise

October 22, 2019

Craig Stiles, Gregory Miller and Nathan Clark, who managed $256 million at Merrill Lynch in Lansing, Mich., have joined the employee unit of Ameriprise Financial along with their two staff members. [More:​ See more adviser moves in InvestmentNews'...

Three Wells Fargo reps managing $150 million move to Raymond James

October 22, 2019

Roper Fields, Thomas Fields and B.V. Lawson, who managed $150 million at Wells Fargo Advisors, have joined the employee unit of Raymond James in Cool Springs, Tenn. [More:​ See more adviser moves in InvestmentNews' Advisers on the Move database.]...

Raymond James dips toe into commission-free trades

October 21, 2019

Raymond James Financial Inc. is the latest brokerage to slash charges on trades and is eliminating transaction fees for stocks, exchange-traded funds and options for the firm's small Investment Adviser Division. Unlike many of its competitors,...

Merrill advisers managing $206 million join Raymond James

October 17, 2019

Gary Wardein, who managed $206 million at Merrill Lynch in San Diego, Calif., with his daughter, Erin Bethge, have joined the employee unit of Raymond James. [More:​ See more adviser moves in InvestmentNews' Advisers on the Move database.]...

Skip Schweiss of TD Ameritrade elected 2020 president of FPA

October 16, 2019

The Financial Planning Association has elected Skip Schweiss, president of TD Ameritrade Trust Co., as its 2020 president for a one-year term. Mr. Schweiss, whose term will begin Jan. 1, 2020, succeeds 2019 FPA President Martin C. Seay. [More:...

Finra panel orders former broker to pay Raymond James almost $1 million

October 15, 2019

A hearing panel of the Financial Industry Regulatory Authority Inc. has ordered former Raymond James broker John Charles Wyshak to pay the firm almost $1 million for breaching his agreement with the firm and to indemnify clients for churning...

UBS team managing $990 million moves to Raymond James

October 15, 2019

Arun Sardana, Adam Proger, Paul Grambsch and Reilly Loflin, who managed $990 million in assets at UBS, have moved to the employee unit of Raymond James in Bethesda, Md. [More: See more adviser moves in InvestmentNews' Advisers on the Move database.]...

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