Dynasty Adds $800M Team From Morgan Stanley
Meanwhile, Raymond James grabs teams from Ameriprise and Baird and a rep from Edward Jones.
Luxury Home Prices Slow Significantly in Q4: Redfin
But some "breakaway" cities like Miami Beach are drawing foreign buyers who are pushing up prices, the online real estate brokerage says.
SEC, FINRA Enforcement: Fake Hedge Fund Manager Seeks His Perfect Match
The SEC has charged Moazzam Malik with stealing investor money to pay for a matchmaking site membership and Harvard classes, among other expenses.
New Hire Roundup: Securities America Promotes 7
Meanwhile, financial data aggregation firm CircleBlack appointed Bill Bartzak and Michael Castellano to its board of directors.
Top 15 States With Most RIAs
The number of RIA firms increased to 31,975, according to SIFMA’s 2014 Factbook, despite an active merger year.
SEC Busts 3 Advisors for Falsifying State Registrations
The three firms claimed they did business in Wyoming, an unregulated state, while maintaining offices elsewhere, the SEC says.
Paid Tax Preparers Should Be Regulated, Consumer Groups Say
More than half of all tax returns are prepared by paid tax preparers, only 40% of whom are subject to mandatory professional standards, coalition says.
Enforcement Roundup: Wells Fargo, JPMorgan Slammed Over Mortgage Kickbacks
Meanwhile, the SEC charged a Fort Lauderdale-based advisory fund manager and his firm with running a Ponzi scheme to buy jewelry, cars and a house.
Top 10 States With Best Performing 401(k)s
Find out which states' 401(k) plans moved into the Top 10 and which fell out in 2014, according to Judy Diamond Associates.
How America Is Kicking Its Oil Habit
The U.S. is producing the most oil in 31 years, growth is accelerating and crude prices are plunging. So why is Americans’ petroleum use waning?