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June 14, 2019
Why Ex-Legend Advisors Are Suing Cetera
They believe the companies unfairly stopped paying them overrides on their books of business.
Fired Merrill Lynch Rep Suspended Over Alleged Cryptocurrency Mining
The wirehouse allegedly discharged Kyung Soo Kim over failure to disclose the outside business activity.
Merrill Lynch Loses Two FA Teams to This Rival
The teams collectively managed over $340 million.
Morgan Stanley and UBS Both Lose Reps to This Rival
Steward Partners has added two advisors collectively managing close to $200 million at the two wirehouses.
Cetera Data Breach Could Have Exposed 2,000 Clients’ Info
In March, an unauthorized person gained access to two Cetera employees’ email accounts.
RIA AUM Growth Slowed Substantially in 2018
Nonetheless, revenue growth remained mostly on pace.
|The Client - Finding and winning new clients||The Client - Client retention|
|The Client - ERISA plans/institutional management||The Client - Behavioral finance|