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June 17, 2019

Ex-UBS Advisors Forced into Finra Arbitration by Federal Court Judge
The group claims the wirehouse unlawfully fired them before it had to pay out promised bonuses.
How Mick Jagger and The Rolling Stones are Weirdly Being Financed by Annuities
An annuities marketing group is sponsoring their latest tour.
Galvin Slams SEC While Putting Out Own Fiduciary Rule Proposal
Massachusetts’ top securities cop says SEC’s recently unveiled Regulation Best Interest fails on several levels.
Wells Fargo Loses FAs to Stifel and Janney
Plus LPL lures $100M practice from Cetera.
Special Report: How ETFs Work and Why that Matters to Your Clients
There are the obvious advantages to ETFs you can find in any brochure, but financial advisors can benefit from having a deeper understanding to take full advantage of the investment vehicle’s unique attributes.
SEC Bars Ex-Broker Over Alleged Churning
The broker allegedly reaped $935,000 in commissions from trading that cost his clients $881,000 in losses.
Fleming’s Rockefeller Lures Yet Another Merrill Lynch Exec
The latest hire will join the Rockefeller Global Family Office as a managing director in its new office in Los Angeles.
Focus Financial Execs See 5,000 Potential M&A Deals
The firm believes it can do business with 1,000 more partner firms, through which it can reach another 5,000 M&A deals.