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February 15, 2019

Maryland Fiduciary Bill Succeeds Where SEC Reg BI Fails, Says Advocate
Successful industry lobbying has lead to patchwork of state laws, she says.
Kestra Financial Agrees to $2 Million Payment Over Alleged Mutual Fund Sales Violations
The company allegedly failed to offer eligible clients lower-fee share classes for close to a decade.
UBS Loses $730 Million Team to This Rival
The team join a new private client group office in Cincinnati.
Hightower Adds $2.6 Billion RIA
The addition brings HighTower’s AUM to $68.6 billion.
LPL Lures Yet Another Bank-Based Advisor Practice ... Here's How They Did it
Community First Investment Group joins from LaSalle Investment Management.
Amid Falling Markets, B-Ds and Retail Brokerages Post Strong Revenue
Charles Schwab, TD Ameritrade and E*Trade all benefited from higher trading activity, according to Moody's Investors Service.
Commonwealth Offers MassMutual Access to Its Wealth Management Tech Platform
The Advisor360° platform lets advisors have a single program for tracking portfolios, trading, client contact tracking and more.

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