SEC bars former Berthel Fisher rep for defrauding three clients
In a parallel criminal case, Jay Kelter was sentenced to 29 months
SEC bars broker connected to Dawn Bennett scam
Bradley Mascho, formerly with Western International Securities, agrees he abetted fraud
Chicago-area RIAs combine to create $8 billion advisory firm
Savant Capital Management is acquiring Huber Financial Advisors
SEC won’t offer any grace period for Reg BI compliance
In its annual examination priorities letter, the agency also shows it is once again targeting fee disclosure
Bob Doll’s 10 predictions for 2020
Nuveen’s chief equity strategist is heading into 2020 with a generally bullish outlook
Franklin Templeton unit to acquire $6 billion Athena Capital Advisors
Massachusetts-based RIA will become part of Fiduciary Trust Co. International
Brokerage industry opposes Massachusetts fiduciary rule proposal at hearing
Investor-protection advocates don’t expect state to water down measure
Like the markets, advisers largely shrug off Iran threat
Financial markets appear to be separating geopolitics from economics for the time being
Edward Wedbush, founder of Wedbush Securities, dies at 87
Mr. Wedbush, who was known as Ed, founded his firm in 1955 as Wedbush & Co.
