InvestmentNews

InvestmentNews
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Carson Group names leaders for adviser and consumer operations
YOUR PRACTICE PRACTICE MANAGEMENT JUL 17, 2019
Carson Group names leaders for adviser and consumer operations

Aaron Schaben and Teri Shepherd to serve as co-presidents.

Merrill Lynch duo managing $372 million goes indie with Raymond James
NEWS INDUSTRY NEWS JUL 17, 2019
Merrill Lynch duo managing $372 million goes indie with Raymond James

Lee Henderson and George Hutter form eponymous firm in New Orleans.

JPMorgan Securities rep managing $225 million joins indie tied to Raymond James
NEWS INDUSTRY NEWS JUL 17, 2019
JPMorgan Securities rep managing $225 million joins indie tied to Raymond James

Amy Sabin moves to Steward Partners Global Advisory in Dallas.

SEC charges unlicensed Tennessee 'broker' for involvement with Ponzi scheme
NEWS REGULATION AND LEGISLATION JUL 16, 2019
SEC charges unlicensed Tennessee 'broker' for involvement with Ponzi scheme

Henry J. Wieniewitz, III charged with selling securities of the Woodbridge Group.

InvestmentNews CEO and publisher Suzanne Siracuse resigns
YOUR PRACTICE PRACTICE MANAGEMENT JUL 16, 2019
InvestmentNews CEO and publisher Suzanne Siracuse resigns

Move comes one year after London-based Bonhill Group acquired InvestmentNews from Crain

Wells Fargo duo managing $350 million goes indie with Raymond James
YOUR PRACTICE PRACTICE MANAGEMENT JUL 16, 2019
Wells Fargo duo managing $350 million goes indie with Raymond James

Austin Heberger and Gavin Lee set up Arroyo Capital Partners in Pasadena, Calif.

Wells Fargo adviser managing $500 million moves to RIA firm
NEWS RIAS JUL 16, 2019
Wells Fargo adviser managing $500 million moves to RIA firm

Michelle Rudd opens office for Summit Trail Advisors in Seattle.

Former Beverly Hills rep found guilty of $200 million fraud scheme
NEWS REGULATION AND LEGISLATION JUL 15, 2019
Former Beverly Hills rep found guilty of $200 million fraud scheme

Todd Ficeto was involved in an international hedge fund scam.

Cybersecurity still a top concern among RIA compliance execs
GO RIA COMPLIANCE JUL 15, 2019
Cybersecurity still a top concern among RIA compliance execs

Almost three-quarters increased cybersecurity compliance testing in the past year.

Finra bars former Morgan Stanley rep who hid outside accounts
NEWS REGULATION AND LEGISLATION JUL 12, 2019
Finra bars former Morgan Stanley rep who hid outside accounts

Roman Corona declined to appear before panel looking into holdings.