Eric Rasmussen

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Judge Orders Miami Advisor To Pay $18M To Client Who Alleged Theft

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Advisor Andrew Jacobus is being sued by a number of Venezuelan nationals who say he stole their investments.

Congress Wealth Acquires Pa. Firm MainLine With $1.1B

by FA Staff

The firms, when combined, create a $6.7 AUM entity catering to the wealthy.

SEC Charges RIA With Lying About Having Multitrillion-Dollar AUM

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The agency says New York firm Vista Financial reported an $11.49 trillion AUM figure that is fiction.

UBS Snags $700M Merrill Lynch Team In Conn.

by FA Staff

The five-member Coutant Group is led by Keith and Kevin Coutant.

Finra Bars Dallas Advisor For Promissory Note Sales

by FA Staff

The regulator claims Leslie D. Jackson engaged in $1.98 million in note sales without telling his broker.

NFP Purchases Utah Firm Divergent With $675M In AUM

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NFP continued to build out its wealth management presence by acquiring a firm founded by breakaway Morgan Stanley veterans.

Finra Bars Ex-Morgan Stanley Rep In Florida After Fraud Allegations

by FA Staff

Four clients have claimed almost $860,000 in damages against Ron E. Filoramo.

Fidelis Lures $4.5B Team From Bank Of America For D.C. Office

by FA Staff

The firm launched last year to serve the ultra-wealthy.

UBS Seeks Restraining Order Against $5.5B Atlanta Team That Skipped To RBC

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The bank said the team ran afoul of non-solicitation agreements.

LPL Sues U.S. For $5.4M In Tax Refunds Over Tech Development

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The IRS rejected the company's arguments that its tech platform was a production expense.

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