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March 19, 2019

UBS Lawsuit Raises Broad Concerns Over Sunset Clauses
Case involves a loan as part of a sweetened retirement deal.
SEC Settles with RIA and Its Ex-COO Over Alleged Auction Rigging
They allegedly didn’t try to obtain the best possible price for the seller of a commercial real estate asset.
Merrill Lynch Appoints New Head of Texas Mountain South
Carole Wentz will oversee more than 3,300 financial advisors working across 103 branches.
Cresset Acquires $500 Million Chicago-based RIA, Signaling More Acquisitions to Come
Cresset Asset Management has bought Evanston Advisors as part of its move to expand its presence in key markets.
Wells Fargo Reportedly Nearing $1 Billion Sale of Retirement Plan Business
Meanwhile, Morgan Stanley agrees to sell unit administering its alternative-investment feeder funds.
First Republic Continues Poaching Wealth Management MDs from Large Brokerages
And a Merrill Lynch financial advisor team decamps for JPMorgan.

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