HighTower Adds LPL Group in St. Louis
By Janet LevauxMeanwhile, a UBS team forms an RIA in Louisville and signs on with Raymond James' Investment Advisors Division.
March 27, 2017
SEC Bars Broker for Aiding Brothers' Securities FraudThe three repeatedly duped at least four unsophisticated foreign investors into sending funds to various U.S. bank and brokerage accounts," the SEC states.
March 27, 2017
FINRA Chief Cook Welcomes BD, Advisor Regulatory ReviewFINRA "must be willing to consider any changes that will better serve the interests of investors," says CEO Cook.
March 24, 2017
Advisor Gets 7-Year Sentence for $21M Ponzi Scheme: EnforcementIn other enforcement news, SEC charges a Virginia man with insider trading and FINRA fines Credit Suisse.
March 23, 2017
New Money Market Fund Rules Working as Planned: NY FedAs a result of the new rules, money has shifted away from riskier institutional prime and muni funds into safer government funds.
March 23, 2017
‘Myth Busting’ Ex-Broker to Pay Dating Guru $1MA FINRA panel has ruled that radio host Dawn Bennett is required to compensate the former client for losses and expenses.
March 22, 2017
Raymond James Adds Team of Women From Morgan Stanley: Recruiting RoundupMeanwhile, TD Wealth grabs a group in New Jersey from Wells Fargo.
March 22, 2017
Advising Clients on Social Security: Talking Points, Part 3This installment introduces more advanced Social Security topics like Restricted Application, and coordinating spousal benefits and the Three-Legged Stool.