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September 24, 2018

LPL Accused of Race and Sex-Based Discrimination in Lawsuit
Plaintiff says she's been passed over for promotions and isn't paid the same as her white male colleagues.
Ex-Morgan Stanley FAs Fight Firm’s TRO Request
Six brokers who’d jumped ship to Stifel and face a lawsuit from Morgan Stanley argue they should be allowed time to respond.
Can Focusing on Fewer Client Segments Pay Off? (An FT 300 Snapshot)
RIA AUM data reveal which FT 300 firms excel at serving two or fewer client segments.
Advisor Moves: Raymond James Nabs $125M FA from Key Rival, and More ...
Also moves involving LPL, Wells Fargo and Baird.
More Advisors Charged With Cherry-Picking
RIA and husband-and-wife owners faces charges from the SEC.
RightCapital and Betterment Team Up on Initiative for RIAs
Separately, TD Ameritrade Institutional and Schwab Advisor Services are piloting an Envestnet Tamarac integration.
U.S. Investors Embrace Alts, Lag Behind on ESG Investing
While U.S. investors have boosted the percentage of their assets they hold in alternative investments, rich Americans rank the lowest among 10 countries when it comes to sustainable investing.