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April 18, 2018

Merrill Lynch, RBC FAs Reveal Their Game-Changing Client Moves
When done right, this simple technique can be one of the best ways to help investors stay calm in market volatility.
Sacked Morgan Stanley Advisor Ordered to Pay Back $372,000
Separately, a veteran advisor in Williamsville, N.Y., admits stealing $1.4 million from his clients.
UBS’s Naratil: SEC’s Advisor Conduct Rule Will Have Real Power
Company’s co-president of wealth management also says Broker Protocol exits aren’t that big of a deal.
HighTower Acquires $4.5B Wealth Unit
Deal is HighTower’s largest single-office-location acquisition.
Clients are Evolving Their Views on Fiduciaries
Which is to say they're increasingly aware of what a fiduciary is.  Video [ 3:15 ]   Transcript  
Northern Trust's Wealth Channel Nabs Private Banker from BNY Mellon
Prior to BNY Mellon, Chahin Pahlavi managed $250 million at HSBC Private Bank.
Finra, SEC Provide Little Data on Sexual Harassment
Sen. Elizabeth Warren’s requests for information have apparently yielded little.
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