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November 30, 2018

Trump’s New Investment Program Opens Surprising Tax-Shelter Locations
Qualified Opportunity Zones are causing a stir in the UHNW and family office community.
Wells Fargo Sued By Septuagenarian in $660K Elder Abuse Claim
The woman is also suing some 100 employees and her advisor.
Morgan Stanley and Merrill Lynch Both Just Lost More FAs to This Rival
The firm has just poached another group of advisors collectively managing $373 million.
Why Niche Firms Beat Other IBDs in Growth Stakes
And why IBDs generally are outstripping wirehouses.
Ex-Wells Fargo Advisor Pleads Guilty to Embezzling
The FA resigned voluntarily from the wirehouse in 2014.
UBS Loses Two Financial Advisors to This Boutique Indie
The Louisiana duo oversee around $150 million.
Brokerage Client Awarded Over $1 Million in Alleged Churning Case
But with the firm out of business and two bankrupt co-defendants, how the client will collect is unclear.

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