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March 5, 2018

UBS Suffers TRO Defeat
A North Carolina state judge denies firm’s request to impose a TRO on ex-broker who joined Ameriprise.
#MeToo on Wall Street? Warren Grills SEC and Finra
The Democratic senator is asking financial watchdogs about sexual harassment in the industry.
Advisors Keep Clients Calm Despite Media's Best Efforts
FAs say they're up against a investment news industry with a vested interest in spreading panic.
Morgan Stanley Forms Special Team for Super Rich Management
The wirehouse is creating a 66-person support team to assist advisors of ultra-wealthy clients.
Broker Earning $238K Told to Leave Rent-Stabilized Pad
David Sans was one of 160 high earners living in rent-stabilized apartments in New York.