Eric Rasmussen

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Texas Advisor Accused Of Murder Gets Life For Financial Fraud

by FA Staff

Keith Todd Ashley is going to prison for the fraud scheme that involved his alleged murder victim.

CI Rebrands U.S. Wealth Biz As Corient After Nixing IPO

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The aggressive RIA acquirer has renamed its U.S. wealth business "Corient," merging "client" and "oriented."

SAVE Plan To Lighten Burden On Student Borrowers

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But advisors must do some math to find the right plan for clients.

Judge Throws Out Suit Accusing Cambridge Of Helping Advisor Claw Her Firm Back

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Colonial River in Virginia said Jayne Di Vincenzo violated her sell agreement. Finra disagreed.

Veteran B-D Recruiter Jon Henschen Dies At 64

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The industry pioneer and broker-dealer critic died on July 4 following an earlier cardiac arrest.

Goldman Takes Rosier View On Recession Than Others

by FA Staff

The firm's chief economist said employment and consumer spending we're buoying the economy.

2023 RIA Survey & Ranking: Consolidation Crunch Hits Rate Reality

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Are all the RIA merger marriages going to slow? Or will deep pockets keep the deals moving?

SEC Sues Florida Broker Who It Says Defrauded Clients Of $3M

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The agency said Florida broker Joseph M. Todd spent client money on boats, condos, adult entertainment and other luxuries.

J.P. Morgan Owes Ex-Rep $2.5M After Firing, Finra Panel Rules

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The bank had a right to fire him for violating anti-money-laundering regulations, a dissenting arbitrator shot back.

Finra Bars Former Citi, Wells Fargo Rep Who Solicited Money For Film Business

by FA Staff

Helen Grace Caldwell was also sued by a public guardian in Illinois for using funds from an elderly client.

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