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April 12, 2019

UBS Tries to Heed Advisors’ Call for More Consistency
The firm has unveiled management readjustments of its U.S. equity model portfolios.
Why You Could be the Next Target of an SEC Probe After SCOTUS Ruling
The Supreme Court has emboldened the SEC to go after more people and accelerate enforcement, lawyers say.
Morgan Stanley Boss Points to Wealth Management As ‘Stable Foundation’ in Congressional Grilling
But bank CEOs appeared unsure of how diverse their ranks will be in the future.
Betterment Lures Indie FAs with Commission-Free Offer
The robo-advice pioneer hopes to compete with the likes of Charles Schwab for independent advisors’ business.
Health Insurer Settles 401(k) Suit for $23.7M Over Vanguard Fees
Anthem Inc. also agreed to bring on a consultant to determine whether Vanguard funds should be part of its plan.
NorthStar Rebrands as Orion Following $10B TAMP Acquisition
Orion’s parent company NorthStar, along with recent TAMP acquisition FTJ FundChoice and other affiliated firms, will all operate under the Orion name.

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