Tag: Raymond James
Michigan RIA Files Lawsuit Over Trademark of Altruist Name
Altruist Financial Advisors LLC, a Michigan-based financial advisory firm, has filed a lawsuit against Altruist Corporation, an investment platform, regarding the businesses’ having similar...
FINRA Bars Former Raymond James Broker; Fines and Suspends LPL Brokers
The Financial Industry Regulatory Authority barred a former Raymond James and B. Riley Welath Management advisor who allegedly submitted falsified statements to the regulator...
Raymond James to Buy $35 Billion Retirement Plan Administrator
Raymond James Financial Inc. (NYSE: RJF), a financial services company, has agreed to purchase NWPS Holdings Inc., doing business as NWPS and Northwest Plan...
SEC: Raymond James to Pay $15 Million for Improperly Charging Retail...
The Securities and Exchange Commission has agreed to settle charges against three Raymond James entities for improperly charging advisory fees on inactive retail client...
Artivest Names New Chief Financial Officer
Artivest, an independent digital platform for alternative investing, has appointed Karl Jaeger as chief financial officer.
Jaeger has more than 25 years of experience in...
Artivest Hires Former Raymond James Alternative Investment Platform Exec
Artivest, a digital platform for alternative investing, has hired former Raymond James executive James Hale as head of platform, a newly created position for...
Capitol Securities Recruits Former Stifel Team
Capitol Securities Management Inc., privately owned regional brokerage and investment advisory firm with approximately $5 billion in client assets, has added Knobel Investments based...
Hilltop Adds Five Financial Advisors Managing $382 Million
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc (HTIN) have added five new financial advisors managing approximately $382 million in client assets to...
SEC Bars Former Questar Rep Serving Time for 15-Year Ponzi Scheme
The Securities and Exchange Commission has barred a former Questar Capital registered representative currently serving 11 years in prison for his role in perpetrating...
Raymond James Financial to Buy Boutique Investment Bank
Raymond James Financial Inc. (NYSE: RJF) has entered into a definitive agreement to purchase Silver Lane Advisors LLC, a boutique investment bank that focuses...
LPL Financial Recruits Wisconsin Bank Program from Raymond James
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Third Oak Investment Services, the investment program offered at Baraboo State Bank, to its...
LPL Financial Lures Retirement & Investment Group From Raymond James
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that Retirement & Investment Group has joined LPL's broker-dealer and corporate registered investment advisor (RIA)...
Raymond James Names Former Deutsche Bank Exec as Chief Investment Officer
Raymond James Financial Inc. (NYSE: RJF), a broker-dealer with $790 billion in total client assets, has appointed Larry Adam as chief investment officer of...
FINRA Suspends and Fines Former Raymond James Broker for Accepting Monetary...
The Financial Industry Regulatory Authority has suspended and fined a Robert Edward White, a former Raymond James broker, for accepting $58,000 in monetary gifts...
FINRA Bars Former LPL Rep for Allegedly Stealing Customer Check Intended...
Financial Industry Regulatory Authority has barred a former LPL Financial broker for allegedly converting client funds by depositing a personal check from an elderly...
Private Equity Firm Acquires Compliance Software Provider “RIA in a Box,”...
Aquiline Capital Partners LLC, a New York-based private equity firm investing in financial services and technology, has acquired software service provider RIA in a...
Provasi Adds Five New Hires to Sales and National Accounts Teams
Provasi Capital Partners LP has added five new employees to the company’s national accounts and distribution teams, including Warren Posner, Jay Sluis, Matt King,...
Former LPL Advisory Team with $1.3 Billion in AUM Joins Focus...
Cornerstone Wealth Group, a hybrid registered investment advisory firm with $1.3 billion in client assets and headquartered in Huntersville, North Carolina, has moved from...
