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May 22, 2018

Morgan Stanley Breakaways Sue Wirehouse for Client Access
Brokers turn the tables on wirehouse, which recently left the industry accord.
The Key Role Finra Would Play in the SEC's Best Interest Rule
Finra CEO Robert Cook says the SEC will be responsible for interpreting what is required by the best interest rule.
Finra Panel Awards UBS $9.72M
Panel rules in favor of wirehouse in a case of a previous settlement with the ex-wife of a former UBS client.
Morgan Stanley Had Filed a Suspicious-Activity Report on Trump’s Lawyer
The wirehouse’s wealth management unit marked three checks adding up to more than $1 million that Michael Cohen deposited from his shell company.
Do Broker Hiring Practices Lead to Discriminatory Environments?
The fact that advisors often pay their own assistants means the industry is ripe for harassment and discrimination lawsuits, industry experts say.