Already a Financial Advisor IQ Reader?
May 13, 2019
Morgan Stanley Bars Ex-FA from Soliciting Her Clients
The advisor claims the firm's culture is unfavorable to working mothers.
Goldman Sachs Reportedly Buying United Capital for Up to $750 Million
The deal could expand Goldman’s wealth management assets by $24 billion.
UBS Loses Half-Billion Team
The team of four advisors has opted for independence through Dynasty.
Wells Fargo Loses $331M Team to Raymond James
Plus Focus financial adds in California.
LPL Poaches FA from Cadaret Grant, Hires Ex-Morgan Stanley Exec
Graham Nelson managed $130 million at Cadaret Grant.
Finra Warns Firms About Anti-Money Laundering Compliance
Member firms must flag transactions they know or suspect to be unlawful if they involve $5,000 or more.
Pershing Ordered to Pay $1.4 Million For Aiding Ponzi
A Finra arbitration panel has ruled that Pershing helped R. Allen Stanford's Ponzi scheme by serving as his custodian and clearing firm.
How Democrats and Republicans Differ on Ways IRS Should Boost Tax Collection
Democrats decry tax avoidance by the wealthy while Republicans point to gig economy workers.
|The Client - Finding and winning new clients||The Client - Client retention|
|The Client - ERISA plans/institutional management||The Client - Behavioral finance|