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February 26, 2018

Why UBS's Non-Solicitation Clause Move Might Just Be the Beginning
But UBS has since removed language that would have required its reps to sign a non-solicitation agreement to get their 2017 bonuses.
Broker-Dealer Firms Could Suffer Finra's Wrath for Unpaid Arbitration Awards
The self-regulator will consider unpaid arb awards when approving membership.
Merrill Lynch and Wells Fargo Lose Reps to Raymond James
Company adds advisors in Texas and New Jersey.
SEC Plans to Limit Who Can Call Themselves a Financial Advisor
Meantime, opponents are aiming to kill Maryland's attempts at a state fiduciary rule.
Kestra Lures Veteran Reps from RJ, DA Davidson
Separately, one of the largest Super OSJs affiliated with Cetera announces plans to double its advisor count and AUM.
DOJ Targets 250 Defendants in Elder Abuse Cases
Criminal, civil and forfeiture actions are aimed at schemes that have caused over half a billion dollars in losses.

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