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May 14, 2019
Why Ken Fisher Slams Subscription Fee Model as “Stupid”
Other RIAs say they're interested in the model, but they don’t yet know the best approach to it.
Wells Fargo Advisors Investigates Plaintiff’s Allegations of Sex and Age Discrimination
In the meantime, they are not responding to her lawsuit.
Morgan Stanley Sold Wealth Management Clients Uber Pre-IPO Shares at $48.77
A minimum investment of $250,000 reportedly allowed clients access to shares in a fund convertible to Class A stock in the IPO.
Family of UBS FA Facing Manslaughter Charges in Anguilla Refute Witness Reports
A spokeswoman for the family of Gavin Scott Hapgood denies claims made to the New York Post by an anonymous witness.
Broker-Dealer Benjamin F. Edwards Launches RIA to Entice Breakaways
Edwards Wealth Management starts with a father-son team overseeing $230 million.
After Guilty Plea, Broker-Dealer Ordered to Pay $2 Million Over Rigging ADR Bids
Banca IMI Securities pleaded guilty to conspiring to pre-release ADRs at suppressed rates.
Finra Bars Former Rep over Trades in Non-Traditional ETFs
The advisor allegedly didn’t understand the complex instruments he recommended to at least 47 customers of America Northcoast while he wasn’t a registered representative.
|The Client - Finding and winning new clients||The Client - Client retention|
|The Client - ERISA plans/institutional management||The Client - Behavioral finance|