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December 3, 2018

UBS Makes Big Move to Tap Critical Changes in HNW Market
The firm is preparing for changes in the makeup of the high net worth market with changes in its own ranks.
Morgan Stanley Agrees $1 Million Settlement Over Former Broker’s Trading
The wirehouse has agreed to return $483,285 to three investors and pay a $450,000 fine to the New Hampshire Bureau of Securities Regulation.
How Big Data Analytics Help FAs Beat Volatility and Other Key Challenges
FAs can also drive portfolio returns and minimize risk using big data.
Ex-Wells Fargo FA Suspended Over Assistants Allegedly Handling His Tasks
Advisor allegedly gave his assistants passwords to sign his approval for new accounts.
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Archive: Women Advisors Discuss Succession Plans as They Take Charge of their Family Firms
Join us today at 2pm ET, four financial advisors will discuss the challenges and opportunities associated with taking over their family firms. This webcast is sponsored by LPL Financial.
Advisor Moves: Wells Fargo Loses Branch Manager to RBC
Plus: Family office moves and a Stifel breakaway.
Congress Pits Insurance Firms Against Mutual Fund Interests Over 401(k) Law
A measure in the House of Representatives would require 401(k) statements to demonstrate what account balances would equate to in monthly income.

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