SEC alleges Thomas Edward Andrews colluded with his assistant to profit more than $8 million from a five-year securities fraud affecting 23 investors.
Demitrios Hallas was accused of recommending unsuitable investment products for five customers and misappropriating more than $170,000 from one of them.
The independent RIA opens its ninth US location, boosting total client assets by $150 million.
Ameriprise Financial has agreed to acquire Texas-based independent broker-dealer Investment Professionals which has 200 financial advisors in over 140 financial institutions in 29 states.
RBC snatched away a $375 million all-woman team from UBS shortly after hiring a $300 million team from Merrill Lynch.
Granahan Investment Management launches new strategy following its split from Vanguard after 32 years.
Former equity options trader and portfolio manager at Eaton Vance allegedly pocketed almost $2 million from a fraudulent trading scheme.
We showcase eye-catching portfolio managers who have earned a Citywire rating due to their risk-adjusted returns.
Despite recent political events, European equities are on the up. We look at 10 top performing managers over the last three years.
Touchstone Advisors has acquired nine retail funds and four variable products from $5.54 billion Sentinel Asset Management, boosting Touchstone's AUM to $20 billion.