AdvisorHub

A former Merrill Lynch broker is accused of stealing nearly $2.6M from ex Miami Dolphins star: advisorhub.com/former-merrill… #wealthmanagement #miami #florida #ubs #merrill #reshadjones

UBS Wealth Management USA wants to toss a Million-dollar arbitration award in favor of an #Idaho broker who claimed he was wrongfully terminated and discriminated against: advisorhub.com/ubs-seeks-to-t… #wealthmanagement #ubs #arbitration

Stifel Financial Corp. has settled another claim tied to an embattled #Miami broker’s structured note strategy, this time for $13.5M: advisorhub.com/stifel-pays-13… #wealthmanagement #stifel #finra #litigation #arbitration

A pair of #Pennsylvania advisors left Commonwealth Financial Network to create their own independent RIA in #Lancaster, Odyssey Group Wealth Advisors: advisorhub.com/pennsylvania-d… #wealthmanagement #ria #commonwealth #odyssey #advisormoves

The results of Edward Jones' campaign to target upper-echelon clients appears to be paying off as more of its brokers are reaching million-dollar producer status: advisorhub.com/edward-jones-g… #wealthmanagement #edwardjones #sma

RBC Wealth Management-U.S. landed two teams from Janney Montgomery Scott LLC that managed $570M in combined assets in #Tennessee: advisorhub.com/rbc-lands-two-… #wealthmanagement #TN #advisormoves #janney #rbc

FINRA has suspended a former LPL Financial broker in New Hampshire for eight months and fined him $5k for circumventing firm rules on beneficiaries: advisorhub.com/finra-sanction… #wealthmanagement #finra #lpl #NH #enforcement #RIA

Mercer Global Advisors, a #Denver based RIA overseeing around $72B in client assets, has added another $1.1B with the purchase of O'Brien Wealth Partners LLC: advisorhub.com/mercer-buys-bo… #wealthmanagement #acquisition #ria #mercer #boston

Wells Fargo Advisors scooped up a #Chicago based team producing $2.4M in annual revenue and managing $454M in client assets from Morgan Stanley: advisorhub.com/windy-city-win… #wealthmanagement #wellsfargo #morganstanley #advisormoves

#Nebraska based Carson Group has bought another affiliated practice, #Maryland based Jacob William Advisory, which manages around $300M in client assets: advisorhub.com/carson-buys-ou… #wealthmanagement #acquisition #carsongroup #ria

A former Merrill Lynch and Hilltop Securities broker who stole nearly $3M from his clients over a nine-year period has reached a settlement in a civil case brought by the SEC: advisorhub.com/ex-merrill-hil… #wealthmanagement #finra #enforcement #merrill #hilltop #sec

A team managing $225M in assets has left Edward Jones to join independent broker-dealer Sanctuary Wealth in Elk City, #Oklahoma: advisorhub.com/sanctuary-adds… #wealthmanagement #advisormoves #ria #edwardjones #sanctuary

Americana Partners, a #Houston based advisory firm has hired a billion-dollar broker from Morgan Stanley, Mark Monroe: advisorhub.com/americana-part… #wealthmanagement #advisormoves #americana #morganstanley #ria

The AmeriFlex Group®, a Las Vegas based firm overseeing almost $12B, has left Osaic, and began transferring to Cambridge Investment Research, Inc.: advisorhub.com/12-billion-ame… #wealthmanagement #ameriflex #osaic #cambridge #advisormoves #ria

One day after a UBS Wealth Management USA team managing $1.1B left for RBC Wealth Management, another with $1.5B in assets jumped to Rockefeller Capital Management: advisorhub.com/9-mln-ubs-team… #wealthmanagement #advisormoves #ubs #rockefeller #florida #ubs

Merit Financial Advisors, an #Atlanta based RIA overseeing almost $16B in client assets, has acquired a #Wisconsin practice with around $365M: advisorhub.com/merit-buys-wis… #wealthmanagement #acquisition #ria #amp

RBC Wealth Management hired a 9-person team who had been overseeing $1.1B in client assets at UBS Wealth Management USA: advisorhub.com/rbc-plucks-ubs… #wealthmanagement #advisormoves #ubs #rbc #recruiting

Citizens Private Wealth has snagged a team from regional banking rival Flagstar Bank that managed almost $1.5B for ultra-high-net-worth individuals and businesses: advisorhub.com/citizen-privat… #wealthmanagement #advisormoves #ria #UHNW #citizens #privatewealth

UBS Wealth Management USA elevated veteran manager Joseph P. Lombardo, Jr. in #NJ to fill a gap overseeing a key complex in the Garden State: advisorhub.com/ubs-promotes-v… #wealthmanagement #ubs #market #executive

Apella Wealth, a #Connecticut RIA managing about $6B, bought #Iowa based Iron Horse Wealth Management, LLC, a five-person team managing about $574M: advisorhub.com/apella-plants-… #wealthmanagement #ria #acquisition