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January 18, 2019

Morgan Stanley’s 2018 Results End on “Disappointing Note”
The wirehouse’s CEO tells analysts the "great year" was capped by revenue and income declines in the fourth quarter.
Raymond James CEO’s Total Pay Award Jumps 12% in Fiscal Year 2018
But that was sharply lower than a previous 32% jump in compensation.
Wells Fargo Loses $800M FA Practice to TD Ameritrade
Christopher Sargent, who broke away to form an RIA, had been with Wells Fargo and its predecessors for more than 50 years.
Potential Tax Season Headache for FAs, Thanks to Government Shutdown
The Internal Revenue Service says it will process refunds but they may be late. Experts add customer service will be slow.
Finra Arbitration Panel Orders Royal Alliance, Ex-Broker to Pay $5.2M
Former advisor Gary Basralian admitted in August to stealing at least $2 million from his clients.
Wells Fargo, JPMorgan, Others Face Probe from Sen. Elizabeth Warren
The Massachusetts Democratic senator wants to know what banks are doing to help federal workers cope with the government shutdown.
First Midwest Bancorp Acquires $800M Wealth Management Practice
The bank now has $11 billion in assets under management.

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