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February 6, 2019

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Morgan Stanley Ordered to Hand Over Evidence in Lawsuit Claiming Theft of Confidential Information

E*Trade says a consultant who moved to the wirehouse had no right to take client details with him.

Merrill Lynch Wins Arbitration Over Manager Claiming $30 Million Loss

A former manager at the wirehouse claimed losses in his account were a result of the firm’s allegedly fraudulent activities in residential mortgage-backed securities markets.

Follow These Signs to Avoid Picking the Wrong Trust Provider

Advice firms should be wary of trust service providers doubling as asset managers, among other signs.

Ex-FA Arrested over Allegedly Siphoning Money from Elderly Clients

He allegedly made checks to himself from a firm where at least one of his clients invested.

Advisor Group Reportedly Up for Sale

Its private equity owners have hired Barclays to advise on the deal.

Video

Do Your Clients Make These Behavioral Blunders?

Confirmation bias and loss aversion are more prevalent than you think.

Video [ 3:51 ]

Transcript

Retired Teachers Win $2.4 Million Arb Award Over Alleged Excessive Trading

Capitol Securities Management allegedly ignored alerts in accounts of a former broker who eventually committed suicide.

How the 0.1% Lose Their Money, According to Family Offices

Some family office professionals say one of the biggest mistakes the ultra rich make is not trusting their family office enough.

Topics

All Topics

The Client - Finding and winning new clients Wells Fargo Advisors Has Tough Time Signing New Clients, Exec Claims Will Wirehouses Thwart FA Flight to Independence by Less Grid Tinkering? This Is the Year Traditional Wealth Managers and Fintech Cozy Up	The Client - Client retention Will Wells Fargo's RIA Offering Cannibalize its Advisor Ranks? Why Advisors Left Wirehouses for B-Ds and Independents Will Wirehouses Thwart FA Flight to Independence by Less Grid Tinkering?
The Client - ERISA plans/institutional management Maryland, Nevada Push for State-Level Fiduciary Rules Oregon Ready to Help Other States Set Up Auto-IRA Programs	The Client - Behavioral finance Morgan Stanley Faces Conflicting Claims from Buzz Aldrin and his Son over Trust Here's What's Most Important for Millennials Seeking Financial Advice

The Assets - Portfolio management This Is the Year Traditional Wealth Managers and Fintech Cozy Up Here's What's Most Important for Millennials Seeking Financial Advice	The Assets - Insurance planning Ohio National Extends Buyout Offer over Controversial Variable Annuity Trailing Commissions Insurance and Annuities to be Subjected to Best Interest Standard at State Level
The Assets - Estate planning Follow These Signs to Avoid Picking the Wrong Trust Provider Why FAs Piled into ETFs Last Year and Will Further the Trend in 2019	The Assets - Tax planning Investors Unearth Worrying Concerns in Opportunity Zone Tax Treatment Merrill Lynch Asks Court to Toss Class-Action Alleging "Misleading and Deceptive" Marketing

The Practice - Technology Wells Fargo Advisors Has Tough Time Signing New Clients, Exec Claims This Is the Year Traditional Wealth Managers and Fintech Cozy Up	The Practice - Fees and compensation Wells Fargo Advisors Has Tough Time Signing New Clients, Exec Claims Ex-Morgan Stanley FA Fired and Barred Over Alleged Gift Disclosure Failure These are the Critical Issues Keeping Top Broker-Dealers Up at Night
The Practice - Staffing and recruiting Ex-Morgan Stanley FA Fired and Barred Over Alleged Gift Disclosure Failure These are the Critical Issues Keeping Top Broker-Dealers Up at Night Ex-UBS Broker Gets 9 Years in Prison Over $4 Million Fraud	The Practice - Regulatory/legal issues Ex-Morgan Stanley FA Fired and Barred Over Alleged Gift Disclosure Failure These are the Critical Issues Keeping Top Broker-Dealers Up at Night Ex-UBS Broker Gets 9 Years in Prison Over $4 Million Fraud

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