Adviser/team AUM: $150,000,000
|Firm leaving||First National Capital Markets|
|Firm joining||Securities America|
|Date||May 07, 2012|
Latest Moves to Securities America
|Curtis Robertson||September 22, 2017|
|Russ Lane, Angie Ford, Andy Massieon, Rob Lane, Steve Adamson, Brian Luther, Grant Lane, Tom Bauer, John Rundle, and Todd Adrian||July 17, 2017|
|Michael Seese||June 07, 2017|
Disclaimer: The moves in this database come from a number of sources: InvestmentNews and other media reports, press releases, and direct submissions that have been reviewed by InvestmentNews. Any corrections, updates or clarifications should be e-mailed directly to the IN staff.
Dave DeVoe answers pressing questions about the M&A space and whether or not he believes the roll ups will get rolled.
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Also ask firms to pay for the administration of the protocol to 'ensure its longevity and relevance.'
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The agency pursued 82 cases against advisers and firms in fiscal year 2017, down from 98 the previous year.
Public Investors Arbitration Bar Association report slams self-regulator over its picks for board of governors.