Eric Rasmussen

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Focus Financial Debt Ratings Slashed Amid Private Equity Deal To Go Private

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S&P and Moody's said the firm's extra debt and the acquisition environment prompted the moves.

Finra Panel Orders Oppenheimer To Pay Another $14M In John J. Woods Case

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A panel said Oppenheimer ignored an ex-advisor's Ponzi scheme. The firm wants to vacate the award.

Mass. Regulator Slaps $3.2M Penalty On Stifel

by FA Staff

Secretary of the Commonwealth William F. Galvin said the firm didn't properly oversee an agent's sales practices.

Ariz. Advisor With $300M In Assets Leaves Stifel For LPL

by FA Staff

Nate Carlon is based in Scottsdale, Ariz., and is joining LPL's broker-dealer, RIA and custodian platforms.

First Republic San Diego Team Bolts For Lido Advisors

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Lido's chief executive said the team, led by Pete Morimoto, had around $1 billion in AUM.

Former Wells Fargo Advisor Gets Two Years In Prison

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California prosecutors said Tyler M. Rigsbee took almost $159,000 from elderly clients.

Money Market Funds See 2023 Boom, Cerulli Says

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Amid bank turmoil and likely cash sorting, these funds gathered some $362.1 billion in March alone.

$3B First Republic Team Lured By Morgan Stanley Extends Exodus

by FA Staff

The team, reportedly led by Randy Peterson, had $23 million in 12-month revenue, a source said.

LPL Beats Q1 Earnings Estimates, Adds 246 Reps

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It also said it recruited in $13 billion in new advisor assets.

Advisor With $190M AUM Leaves Cetera For LPL

by FA Staff

The founder of Scottsdale's DM Brown Financial Services oversaw $190 million at Cetera.

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