Eric Rasmussen

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Beacon Pointe Acquires $1B Firm Landmark Wealth In Minnesota

by FA Staff

It's the fifth acquisition announced by the Newport Beach, Calif., acquirer this year.

Cetera Acquires Protective Life's Hybrid Business, Concourse Financial

by FA Staff

The deal brings 350 professionals and $4 billion AUM to the independent broker-dealer.

Beacon Pointe Acquires Two Firms With $600M In AUM

by FA Staff

The firm has brought on California firm Bridge Advisory and Charleston Investment Advisors of South Carolina.

SEC Sues Calif. Advisor Over Sale Of GWG Holdings Bonds

by FA Staff

Robert M. Vance sold clients $4.3 million worth of the troubled L bonds, the agency said.

Focus To Fold $175M Denver-Area RIA Into Transform Wealth

by FA Staff

The aggregator plans to acquire Custom Portfolio Group of Englewood.

57% Of Wealthy Investors Favor Kamala Harris In UBS Survey

by FA Staff

Donald Trump, however, won the support of 53% of surveyed business owners.

Moody's Says Cash Sweep Backlash Could Hurt Wealth Managers' Credit

by

Several brokerage firms have been sued by clients who claim they've been underpaid for parked cash.

GPB Capital Founder, CEO Of Ascendant Convicted Of Fraud Charges

by FA Staff

David Gentile and Jeffry Schneider were found guilty by a federal jury of defrauding more than 10,000 investors.

A New Cash Sweep Lawsuit, And The Second For LPL

by

Another client has sought a class action suit against LPL, saying he was underpaid for cash sweep accounts.

Ex-Morgan Stanley Broker Pleads Guilty To Defrauding Client

by FA Staff

Prosecutors said Ronald Diaz scammed an elderly client out of $867,000 that was supposed to be used for annuities.

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