Today's Headlines
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Wells Fargo Wealth and Investment Income Slips 37% in Q2
But the calumny-wracked bank says the big culprit is its diminished stake in Rock Creek.
Whistleblower in Conflict-of-Interest Case Gets $30M Award
Same whistleblower also received preliminary approval from the SEC for another award, he claims.
Hurdles Advisors Face When Trying to Prove Discrimination
Most courts want plaintiffs to compare themselves to people who engaged in identical misconduct.
SEC Reveals Big Problems FAs Have With Best Execution
Watchdog’s exam unit zeroes in on best execution disclosures and how they’re impacted by soft dollar arrangements.
UBS Snags JPMorgan Banker for Elite Family Office Unit
UBS plans aggressive growth for its family office business, according to a memo seen by Bloomberg.
Kestra Nabs LPL Wealth Management Practice
The Merrick Financial Group manages $142 million.
JPMorgan, First Republic Report Growth in Wealth Management
Assets under management at both firms have also expanded significantly.
Fiduciary Legislature at the State Level Slows But Continues
A New York bill didn’t make it out of committee but a Nevada bill might become law.
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