CEO of David Lerner faces Finra investigation over product sales

CEO of David Lerner faces Finra investigation over product sales

'For a CEO to be investigated by Finra is a pretty serious red flag, traditionally,' says one attorney.

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This GameStop episode may be different

With Roaring Kitty reportedly under scrutiny from regulators, brokers say the 'us-versus-them' spirit of the 2021 meme stock era is lacking this time around.

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PREMIUM

Deal advocacy: Redefining M&A in wealth management with Alaris Acquisitions

Beyond the highest bid: how Alaris advocates for cultural fit and strategic partnerships.

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SPONSORED CONTENT 

Free White Paper: key trends in microcap M&A

Equip yourself with the knowledge to make strategic investment moves in the microcap space.

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Tracking down the NextGen stars

InvestmentNews flies into the financial universe to find out what skills companies are looking for in young advisors and where they're finding them.

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VIDEO

Energy transition and AI stocks offer upside, says Partners Capital CIO

Alex Band, CIO of Partners Capital, sits down with InvestmentNews anchor Gregg Greenberg to discuss opportunities in private markets, energy transition and generative AI stocks.

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Nominations now open for Women to Watch Awards

Nominations for the awards close July 12.

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INVESTMENTNEWS AWARDS 2024

Creative Planning CEO is ‘staying ahead’ of the industry

InvestmentNews Awards 2024, CEO of the Year Excellence Awardee: Peter Mallouk, Creative Planning.

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OPINION 

Want to build incredible teams? Give yourself, and your employees, personality tests

These tests allow leaders to analyze candidates and companies, and help identify people's superpowers.

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LPL nabs $265M advisor from Edward Jones

The broker-dealer giant is expanding its presence in New Mexico as it helps launch an independent multigenerational practice.

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Avantax welcomes ex-Ameriprise advisor in 'full circle' moment

With a reported $120M in client assets, the latest breakaway to join the tax-focused Cetera subsidiary brings with her two decades of experience.

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Beacon Pointe boosts Pacific Northwest presence with $775M RIA

The firm is doubling down on Seattle’s high-net-worth market by welcoming a veteran-led team with a focus on physicians.

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Wealth Enhancement Group swipes $658M team from Raymond James

The independent RIA marks the firm’s sixth deal for 2024, and its first incursion into the state of Michigan.

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Billion-dollar advisors break away from Merrill with RIA launch

Based in Southern California, the newly founded Alteri Wealth offers wealth and family office services to a broad swath of HNW and UHNW investors.

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Allworth extends growth push with storied California firm

The $1B practice, founded in 1965, extends the national RIA's footprint to 42 office locations and roughly $22B in client assets.

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BNY Mellon unveils one-stop offering for advisor investment solutions

The asset management giant’s new offering brings together managed accounts, asset allocation, custody and clearance, and other capabilities from across its ecosystem.

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AI vs. human advice: which one wins consumers’ trust?

New Finra research peels back the layers on consumer sentiment and use of artificial intelligence for financial and investment advice.

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Starwood’s woes reverberate to $59B Blackstone property trust

Move to tighten limits on investor share redemptions has led to more withdrawal requests at rival firm.

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Fidelity looks to squeeze fees from ETF firms

The investment titan's plan to extract revenue-sharing payments from ETF issuers is ruffling some feathers.

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Airbnb CEO: How leader visibility can reduce employee anxiety through layoffs

'The layoff letter that I wrote, I was not universally advised to do it'.

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