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May 1, 2019
Ex-Edward Jones Advisor Tells Court: I Was Fired Because of My Age
The advisor flew from Omaha to St. Louis and was then fired on the spot.
Morgan Stanley Settles FA Expense Class Action for $10 Million
The suit settles a case brought by former Morgan Stanley advisor Brandon Harvey last May.
Oppenheimer FA Reportedly Involved in College Admissions Bribery Ring: News Reports
Qiuxue Yang works at Summa Group, a small Los Angeles unit of Oppenheimer.
Carson Wealth Explains $575 Million RIA Spectrum Deal
Carson Wealth has acquired equity ownership in Spectrum Management Group through M&A.
UBS Reportedly Tells Wealth Managers to Curb Back-Office Hiring
The firm told managers that they should only hire one person for every five that leave in back-office support.
Fidelity Loses Billion-Dollar Business to Merrill Alum's Multi-Family Office Outfit
Meg Sheil-Puopolo had been with Fidelity Investments for 18 years.
San Diego Advisor Charged with Running $7 Million Ponzi Scheme
The defendant allegedly duped investors with the promise of 5% quarterly dividends in private placements.
Want Wealthy Millennial Clients? Here’s What They Really Want
Robo advisors are getting much smarter and wealthy millennials want in.
HighTower Takes Stake in $4.8 Billion RIA
As part of the deal, Beverly Hills-based LourdMurray has merged with San Diego-based Delphi Private Advisors.
VideoAdvisor Uses Options Where Diversification Falls Short
|The Client - Finding and winning new clients||The Client - Client retention|
|The Client - ERISA plans/institutional management||The Client - Behavioral finance|