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Today's Headlines

Why UBS is Happy it's Shedding Advisors
It's what we want, CEO insists.
UBS Tight-Lipped Over 20-Year Veteran Defending Manslaughter Charges
The case involves the death of a hotel worker on the Caribbean island of Angullia.
Raymond James Boss Deflects Slow Advisor Growth Concerns While Promising to Heat Up the Competition in Key Market
Last year the company saw record recruitment, making this year's numbers look less impressive.
How RIA Aggregators Could Fund Your Retirement in a Roundabout Way
So-called sub-transactions by RIAs owned by aggregators will become increasingly popular over the next few years.
Ex-LPL FA Sanctioned Over Allegedly Borrowing from a Client
James Bashaw allegedly borrowed approximately $200,000 from a client without notifying LPL.
TD Ameritrade CEO Says Retail Investors Were Lukewarm to Marketing
The online brokerage has cut down on digital advertising because “the fish weren’t biting,” according to CEO Tim Hockey.
Why Ameriprise’s Wealth Management Unit Saw Healthy Growth
Retail client assets, meanwhile, rose 6% to $588 billion.
SEC Fines Deutsche Bank $500K Over Hedge Fund Selection
A U.S. unit in the German bank allegedly failed to disclose to wealth management clients that it only considered hedge funds that shared fees.

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