News List


  • News
  • January 8, 2020

SEC bars former Berthel Fisher rep for defrauding three clients

In a parallel criminal case, Jay Kelter was sentenced to 29 months

  • News
  • January 8, 2020

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

  • News
  • January 7, 2020

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

  • News
  • January 7, 2020

Finra bars two no-show brokers

Shlomo Strugano and John Chrysadakis allegedly falsified documents

  • News
  • January 7, 2020

Bob Doll’s 10 predictions for 2020

Nuveen’s chief equity strategist is heading into 2020 with a generally bullish outlook

  • News
  • January 7, 2020

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

  • News
  • January 7, 2020

Like the markets, advisers largely shrug off Iran threat

Financial markets appear to be separating geopolitics from economics for the time being

  • News
  • January 7, 2020

Edward Wedbush, founder of Wedbush Securities, dies at 87

Mr. Wedbush, who was known as Ed, founded his firm in 1955 as Wedbush & Co.


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