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March 28, 2019

Ex-Employee Claims Unique Defense Against Morgan Stanley's Ironclad Arb Agreement
An email to 15,000 employees has so far held up as enough to force staff into arbitration.
Bill Threatens Timing of SEC Reg BI Finalization
The law would require the SEC to conduct investor testing for all relevant SEC rules.
NBA Star Launches RIA For Sudden Wealth Recipients
Troy Murphy wants to give the advice he never had.
Former UBS Broker Gets a Year in Prison over Puerto Rico Bond Sales
Jose Ramirez will be the first among UBS Puerto Rico staff to serve jail time in the scheme.
Whistleblowers Involved in JPMorgan Conflicts of Interest Case Awarded $50 Million
One of the whistleblowers was a JPMorgan executive at the time of its alleged wrongdoing, his lawyer tells the Wall Street Journal.
Kestra Teams up with Goldman Sachs for Lending
The partnership will allow Kestra’s indie advisors to offer their clients securities-backed lines of credit.
NFP to Acquire Bronfman E.L. Rothschild
The combined entity will have have around $10 billion in assets.