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July 12, 2018

Fired Merrill Lynch FA Starts Indie Practice
Bruce Lee had been with the wirehouse since 2011.
House Democrats Push Relief for Small RIAs
House panel also passes bill requiring the regulator to set up a senior investor task force.
Wells Fargo, Stifel and LPL Lose Reps to Benjamin F. Edwards & Co.
Collectively, the new hires managed over $600 million.
Cetera Fined $200K for Supervisory Failures
The company allegedly failed to police its reps’ outside business activities.
Raymond James Loses NY Rep to Snowden Lane
Matthew Davidson managed more than $60 million.