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February 6, 2019

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.

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