Eric Rasmussen

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NAPFA Move To Allow Small Trailing Commissions Provokes Backlash

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The fee-only association said it will allow its members to have up to $2,500 in annual trailing commissions.

N.J. Broker Arrested For Allegedly Using Morgan Stanley Info For Trades

by FA Staff

Jordan Meadow of Spartan Capital Securities allegedly got tips from a friend whose girlfriend worked at the bank.

M&A Thrives, But Valuations Are A Sticking Point, Fidelity Says

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A new Fidelity study says half of buyers walk away from M&A deals for RIAs mostly because of valuation.

Advisor Group Renames Itself Osaic

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The broker-dealer giant has rebranded after saying it would consolidate all its firms.

Cetera Expands RIA Platform With $1.4B AUM Kansas Firm

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Cetera has bought the Retirement Planning Group at a time broker-dealers are making incursions into the RIA space.

Former Rep Probed For Alleged Outside Business Activities Barred By Finra

by FA Staff

Jeffrey Max Cohen failed to furnish documents related to his business dealings, according to Finra.

Betterment Agrees To Pay $9M To Settle SEC Charges

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The agency said the robo's errors caused clients to lose $4 million in potential tax savings.

Hightower Partners With $2.3B AUM Maine Firm Vigilant

by FA Staff

The Chicago consolidator said Vigilant works with high-net-worth families and business owners.

Banks Have Difficulty Retaining Advisors, Cerulli Finds

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Banks are trying to ramp up wealth management, but retaining advisors comes with challenges.

Raymond James Hires Amerprise Fla. Team With $475M In AUM

by FA Staff

The Leeward Group includes advisors John Piotrowski, Richard Holsan and Scott Gribbons.

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