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April 18, 2019

How Market Volatility Has Impacted Morgan Stanley's Wealth Offering
Revenues remained flat for 2019’s first quarter.
UBS Makes Exclusive List for New World Bank Standard
The list highlights early adopters of a new standard for impact investing.
These 400 Broker-Dealers Made the Financial Times 2019 List of Top Advisors
Managing client relationships is becoming more important to the group.
SEC Warns of Key Risks for Client Privacy and Data Security
The regulator’s examiners found various instances of inadequate safeguards and missing polices and procedures.
Mariner Wealth Acquires $1.3 Billion Practice in Florida
Singer Xenos Schechter Sosler marks Mariner’s sixth acquisition this year.
Regional RIA Player Tips its Hand with New Acquisition
MAI Capital Management has bought the Akron-based $100 million RIA, and more deals are on the horizon.
UBS Reps in Dallas Go Indie
Wealth Partners Alliance has registered with Raymond James Financial Services' independent channel.
Finra Bars Another Former LPL Broker
The FA allegedly refused to testify for an investigation into whether she had sold products that belonged to her supervisor or LPL.
Industry Lobbyists Sharpen Knives for N.J.’s Fiduciary Rule
But some RIAs say it’s about time the brokerage industry was held to a higher standard.