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April 30, 2019

Morgan Stanley Loses $6 Billion Team That's Turned Indie
Three more advisors left the firm last week for Wells Fargo.
Financial Advisor Testifies to College Basketball Coach Taking Money in Bribery Case
The advisor tells the court he was interested in developing a relationship with a former University of Arizona assistant coach and discussed providing money for access to players.
How This Advisor’s $2.6 Billion in Client Assets Are All-In on a Truly Contrarian Ideal
ESG advocate says “older,” “white” advisors are more resistant to the concept of ESG.
FA Allegedly Involved in College Admissions Scandal
An unnamed Los Angeles financial advisor allegedly introduced one family to the college counselor at the center of the "Varsity Blues" college admissions bribery scheme.
UBS FA Charged with Manslaughter in Anguilla Claims Self-Defense
Scott Hapgood was charged with killing hotel employee Kenny Mitchel earlier this month.
How the SEC’s Reg BI Fails to Raise Bar, Consumer Groups Claim
Better Markets, the Consumer Federation of America and Consumer Action urge SEC Chairman Jay Clayton to revamp the proposal.