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October 4, 2018

Retired UBS Advisor’s Bankruptcy Case Raises Big Worry About Industry Payouts
The wirehouse wants to keep its money to pay off an old loan to the advisor.
Morgan Stanley Beats Discrimination Case Back to Arbitration
The plaintiff ex-employee was trying to have the case argued in a public court, rather than a Finra arbitration.
Is Morgan Stanley Really Serious about Advancing Women FAs?
Morgan Stanley has highlighted its female managing directors but wirehouses have a habit of paying lip service to equality, says key lawyer.
The Cetera-LPL Merry-Go-Round Continues
One of the reps is returning to Cetera after having spent less than four months affiliated with LPL.
Impressive RIA Growth Comes With Dire Warning for Advisors
Larger firms continue to outpace all others in growing assets under management, meanwhile.
Truly Knowing Your Clients Pays Massive Dividends … Here’s How
A new report concludes advisors who truly try to understand their clients get far more referrals.
Mather Group Acquires Berman Advisors, Forming $2.8 Billion Advice Firm
The acquisition expands the Mather Group’s presence in San Francisco Bay Area.
RIA Registrations Are Surging... Here's Why
Over the past five years, the number of new RIAs has grown 59%.