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April 26, 2018

Whistleblowers Be Warned: You’re Only Protected If You Squeal to the SEC
A recent ruling in the case brought by a fired UBS advisor suggests that reporting wrongdoing to Finra isn’t enough to get whistleblower protection.
Why Advisors Still Have an Uneasy Relationship With Insurance Planning
Annuities and life insurance are contentious products for many FAs.
RIA M&A Picks Up as Advisors Reach Retirement Age
Retirement-age RIAs are selling their firms.
Wells Fargo Loses FAs Collectively Overseeing More Than $2 Billion
Veteran advisors head to RBC and Raymond James while UBS nabs a Wells Fargo executive.
Recommending Multiple Trades Could Be Churning, Finra Suggests
The industry’s self-regulator wants to amend current rules to include when brokers simply recommend excessive transactions but don’t execute them.
Opinion
Have We Rebuilt Trust in the Investment Management Industry?
The answer could be critical to wealth management's survival.

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