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April 1, 2019

UBS Courtroom Loss May Be Far-Reaching for Sunset Deals
The case focuses on how compensation is characterized.
Why Advisors Are Flocking to Privately-Owned Firms
Equity and the freedom from quarterly shareholder demands are a big lure.
RIA Principal Barred Over Alleged $3 Million Theft
Owner of RIA allegedly used the money on personal expenses and keeping his company afloat.
Morgan Stanley’s President to Retire this Summer
The wirehouse’s second-in-command has been with the firm since 1989.
Raymond James Nabs Complex Director from Morgan Stanley
Also: UBS, Merrill Lynch, LPL and more ...
Citi to Roll Out Digital Financial Planning Platform
The platform integrates digital-based advice with calibration by financial advisors or relationship managers.
House Committee Introduces Sweeping Retirement Legislation
The bill also revives an income-stream provision that fund giants have slammed for giving the government’s "imprimatur" to annuities.