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May 22, 2019
Morgan Stanley Ordered to Pay Clients $519K Over Allegedly Unsuitable Recommendations
A New Mexico couple alleged that a Morgan Stanley advisor put them into complex investments such as derivative-linked ETFs and options contracts.
SEC Commissioner Says SCOTUS Ruling on False Statements Raises Big Enforcement Questions
Hester Peirce says SEC must act reasonably when evaluating cases for potential enforcement.
United Capital to Adopt Goldman Sachs Name Following Sale
Adoption will happen as Goldman figures out how to incorporate the brand.
LPL to Acquire $3 Billion Florida-Based RIA
LPL plans to onboard Allen & Company’s advisors as employees.
Special Report: How the Wrong Exposure in the Right Asian Markets Can Doom Clients
As a region in transition, Asia rewards the investor with an open mind and access to a full set of tools.
Wells Fargo, Merrill Lynch Lose Yet More FAs to This Rival
More Wells Fargo reps move to Raymond James and Stifel Financial while Sanctuary Wealth lures a veteran Merrill Lynch advisor.
UBS Promotes Morgan Stanley, Merrill Lynch Alum to Branch Manager
Kristin Popovic is the first woman to serve as the branch manager of UBS’ Indianapolis office.
VideoWhy Finra Has Zeroed in on College Savings Plans
Senators Urge Finra to Bar FAs from Receiving Client Inheritance
Four U.S. senators say such inheritance bequests are conflicts of interest.
Dakota Wealth to Buy $300M Wealth Management Practice
Springside Partners is a female-founded and operated practice in Akron, Ohio.
|The Client - Finding and winning new clients||The Client - Client retention|
|The Client - ERISA plans/institutional management||The Client - Behavioral finance|