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March 22, 2019

Will Wells Fargo Dump Other Business Lines to Focus on Wealth Management?
In addition to recent reports of the firm unloading its retirement plan operations, one advisor thinks the company may get out of asset management too.
UBS’s Wealth Management Revenue Likely to Drop 9% in Q1 2019
And the Swiss-based bank is apparently already preparing to cut costs.
Finra Says Member Fees Will Be Steady in 2019, But Doesn’t Rule Out Future Increases
But continued reliance on reserves would lead to several years of net losses for the industry body.
SEC Adopts Simplified, Modernized Company Disclosure Rules
Amendments include ability to redact certain confidential information while requiring documents to be hyperlinked.
Investment Advisors Charged With Gambling Away Client Money
The two allegedly invested over $11 million of client money in high-risk energy investments.
Securities America Nabs $459M FA Group from Ameriprise
Syntegra Private Wealth Group has joined Arbor Point Advisors, Securities America’s multi-custodial corporate RIA.