Broker Chased High Commissions From Illiquid REITS: Galvin

Jul 20, 2020

The Massachusetts commonwealth secretary’s Securities Division charged former NEXT Financial Group representative Charles Kulch with stuffing client accounts full of the high-risk, high-commission investments.

Father-Son Team Departs Morgan Stanley to Form ShoreHaven Wealth Partners

Jul 20, 2020

Advisors Larry Durso, his son Michael and Michael Lombardi have partnered with Dynasty Financial Partners to launch their own RIA.

Editor's Letter: Diversity and Inclusion in Wealth Management

Jul 20, 2020

Fables of the Reconstruction

This RIA’s Niche: Helping the Wrongfully Convicted Build Secure Financial Futures

Jul 20, 2020

A&O Advisors helps exonerees who have won substantial civil settlements for the injustices they suffered build a financially secure future after years in prison.

The Dixmoor Five

Jul 20, 2020

In 1991, five Black teens were falsely convicted of raping and murdering a 14-year-old girl. In 2011, their convictions were vacated, and they reached a wrongful conviction settlement with the state of Illinois for $40 million in 2014.

Pershing Loses 30-Year Vet to Consulting Group

Jul 17, 2020

Jim Roth, a former managing director at BNY Mellon Pershing, is the latest industry vet to join Oyster Consulting as it builds out a wealth management business.

Elk River Expands Into Omaha With $230 Million Advisory Team

Jul 17, 2020

The addition of David Carroll and Jon Springer is the third team to join the firm since Chris Freimuth and his team left BOK Financial Wealth Group to launch it in March.