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December 18, 2018

Merrill Lynch Fined Over Alleged Supervisory Failures
Wirehouse allegedly failed to respond to red flags, letting a rep and associate steal millions.
Ex-UBS Rep Fights Back Over Million-dollar Promissory Note Award
Rep asked a court to vacate a Finra arbitration award ordering him to pay back the firm $1.1 million.
LPL Boosts Executive Ranks with Breakaway Expert
Exec previously served as COO of business and compliance consulting firm MarketCounsel.
UBS Fined $14.5M Over Alleged 13-Year Anti-Money Laundering Lapse
The company’s broker-dealer unit allegedly failed to enforce compliance in its banking-like services.
RIA Acquisitions are Bigger Than Ever, Fidelity Study Reveals
RIA merger and acquisition numbers are down but the average deal size continues to grow.
Northern Trust Promotes Wealth Management Exec
Michele Havens is succeeding Steven Bell as president of the company’s West region.
Millennials Wanting to Invest in Private Equity? There’s an App for That
Austin-based Newchip allows private equity-like investment in early-stage companies starting with just $100.

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