RIA Industry News from around the Nation
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RIA Industry News from around the Nation
What's Happening Today
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Morgan Stanley’s Slimmon Sees Value Stocks Coming Back to Life
Morgan Stanley’s Andrew Slimmon is on a hot streak, with the MSIF U.S. Core Portfolio fund he co-manages up 26% so far... Read more » - Most-read stories from September 12 to September 18. Read More The post This Week’s Top 5: Schwab Sued Over Robo Cash Sweeps, Trump’s... Read more »
- In addition, Focus Financial is buying a $1.1 billion-AUM firm doing business in the U.S. and Canada. Read More The post RIA Roundup:... Read more »
- CI Financial Corp. is opening a U.S. headquarters in Miami, joining other finance and investing firms including Blackstone Inc. and Goldman Sachs... Read more »
- Four advisors in Portland had spent a combined 73 years with Merrill. Read More The post Team of Merrill Lifers with Billion-Dollar Book... Read more »
- The SEC said the firm misallocated municipal bond offerings to “flippers” at the expense of institutional and retail investors. Read More The post... Read more »
- The industry’s self-regulator alleged that the NYC-based rep, who worked in prime brokerage, tried to pass off $2,270 in bus commuting costs... Read more »
- The award is the first in a Yield Enhancement Strategy case where the claimants won the full amount damages they had requested,... Read more »
- The 36-year industry veteran was unsuccessful in his bid to clear his record of three financial crisis-era disputes that had settled for... Read more »
- The U.S. Securities and Exchange Commission awarded $110 million to a tipster whose information resulted in enforcement actions, bringing total payments under... Read more »
NEWS
SEC Charges Former Pharmaceutical Global IT Manager in $8 Million Insider Trading Scheme
The Securities and Exchange Commission today announced insider trading charges against Dayakar R. Mallu, of Orlando, Florida, who generated gains and avoided... Read more »
Weekend Reading for Financial Planners (Sept 18-19)Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with an in-depth recap of this... Read more »
The Securities and Exchange Commission today announced awards of approximately $11.5 million to two whistleblowers whose information and assistance contributed to the... Read more »
The Securities and Exchange Commission today announced that RBC Capital Markets LLC has agreed to pay more than $800,000 to resolve charges... Read more »
The Securities and Exchange Commission today charged a San Diego County school district, Sweetwater Union High School District, and its former Chief... Read more »
BLOGS
What's Happening Today
Updated Hourly RIA News
- ●Morgan Stanley’s Andrew Slimmon is on a hot streak, with the MSIF U.S. Core Portfolio fund he co-manages up 26% so far... Read more »
- Most-read stories from September 12 to September 18. Read More The post This Week’s Top 5: Schwab Sued Over Robo Cash Sweeps, Trump’s... Read more »
Canada's CI Financial and Florida Gov. Ron DeSantis announce plan for Miami to become the $77-billion rollup's U.S. headquarters in 2023
The Sunshine State used tax incentives to lure the Toronto firm to Miami, where the state has tried to establish a Wall... Read more »Here's What Consumers Want: Allianz Life CEO at KPMG Event
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Apollo's CFO talked about the market for annuity blocks. Related StoriesSchwab to Raise Fees for Retail Investors Buying Vanguard, Fidelity, Dodge & Cox... Read more »- In addition, Focus Financial is buying a $1.1 billion-AUM firm doing business in the U.S. and Canada. Read More The post RIA Roundup:... Read more »
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The bank's chief investment strategist discusses what's taking shape in the U.S. and global economy. Related StoriesHSA Contributions, Distributions Declined in 2020: EBRI... Read more »![]()
Former Fidelity exec and hedge fund founder Angelo Manioudakis begins the new gig on Sept. 27. He replaces Bob Browne. Related StoriesFidelity Institutional... Read more »![]()
The 50% fee hike applies to funds for which Schwab isn't compensated for shareholder servicing expenses. Related StoriesFidelity Institutional Adds Cybersecurity Solution for... Read more »![]()
When financial advice doesn't come from regulated financial professionals, cracking down on bad advice is tricky. Related StoriesFINRA Sweeps BDs on Use of... Read more »![]()
Only a quarter of retirement investors strongly agree that their provider offers proactive guidance, the research finds. Related StoriesAuto-IRA Bill Passes House Panel... Read more »
NEWS
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