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June 28, 2018

UBS Ordered to Pay $4.3M Over Puerto Rico Bonds Case
Claimants’ UBS broker has 183 disclosures on BrokerCheck, mostly related to the Puerto Rico bonds.
Lincoln, Raymond James Aim to Dodge Bad Actors When Hiring
The chief compliance officers believe vetting the candidate is the most critical part of hiring.
Morgan Stanley Adds Mary Shapiro to Board and Hires AI Expert
Moves seen as bolstering brokerage and trading businesses.
Bank of America Faces Lawsuit Over Alleged Role in $102M Ponzi Scheme
The bank allegedly failed to spot suspicious account activity by five fraudsters now facing SEC charges.
Woodbury to Pay Back $1.1 Million Over Unsuitable Sales
Finra alleges the firm failed to supervise its broker.
Here are the Financial Times' Top 300 RIAs of 2018
They have an average 23 years of experience and $4 billion in client assets.
FAs Aren’t Talking to Clients About What Clients Want to Discuss
Meanwhile, many clients appear unprepared for health and caregiving costs.

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