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May 6, 2019

Top Advisors Reveal Their Toughest Challenges
The seamless integration of technology is an ideal scenario for many broker-dealer advisors.
UBS FA Facing Manslaughter Charges in Anguilla Claims Victim Was Armed Attacker
Gavin Scott Hapgood says he let Mitchel in because he was wearing a uniform.
Morgan Stanley Loses Veteran FAs to Matrix Private Capital Group
Plus Carson, LPL and Ameriprise nab talent.
SEC Chair Says Reg BI Aims to Lower Costs Caused by Uncertainty
Jay Clayton also indicated that the commission may roll out the broker and advisor conduct rules overhaul earlier than expected.
LPL Grows AUM 6% Year Over Year
The firm also plans to reduce charges on some ETFs from $9 to $5.