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August 10, 2018

Two Ex-UBS Brokers Face Serious Watchdog Sanctions
Finra bars one involved in alleged unapproved real estate dealings, while the SEC charges another with defrauding clients.
Broker-Dealer Firm Numbers and Registered Reps are Down, But Income Is Sharply Higher
Despite the shrinking broker-dealer industry, pre-tax net income is up 48% from four years ago.
Raymond James Scores Another Wells Fargo FA Team
The duo managed $462 million.
Woodbury Nabs Practices from Kestra and NEXT
The two Colorado-based wealth management firms manage $378 million.
Average American Will Pay $369,000 in Banking and Investing Fees, Study Finds
Assuming a 6% return on investment, those fees, if invested, would yield $1.1 million.
FAs Are Opening Fewer Accounts in 2018, Envestnet Says
There are also higher redemption rates from existing accounts across the industry, CEO says.
What about a House Call?
Don’t dismiss traditional forms of selling.

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