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October 30, 2017

Finra Restitutions Are Up, But Lawmakers are Worried
Finra plans to vigorously pursue cases that involve harm to investors and will bar perpetrators when appropriate.
UBS Americas WM Sees Effects of Lower Recruiting
Adjusted pre-tax profits are down, but so are recruitment loans.
TD Ditching Vanguard ETFs Could Hurt Clients, FAs Say
Some are considering taking client assets to another brokerage.
UBS Has Found Those Huge Clients You're Dreaming Of
American billionaires now control $2.8 trillion.
Is DIY Investing Truly Cheaper than Robo-Advisors?
Independent investors can easily mimic robo-advisor allocations without paying the added fees.
ThinkTank: Latest Published Content

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