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September 20, 2018

Judge Denies UBS Investors’ Class Certification over Puerto Rico Funds
A New York federal judge ruled the investments’ suitability would vary by investor.
Are Advisors Missing Out on Income Growth Around the Country?
Incomes are growing all around the U.S., but advisors may not be there to manage it.
List: Most Popular Marketing Methods for Broker-Dealers
Finra provides standards for the content, approval, recordkeeping and filing of communications with the public.
Fidelity Loses FA to Cypress Wealth
The 13 advisors at Cypress Wealth now oversee $850 million.
Kestra Nabs $118M Colorado Wealth Management Practice
The ex-Royal Alliance firm chose Kestra partly for its support of female advisors.
Big RIA Reaches SEC Settlement Over Prohibited Testimonials
Creative Planning allegedly distributed radio ads with prohibited client testimonials.
RBC Nabs $500M Commonwealth Financial Team
Meanwhile, Wells Fargo loses private banker reportedly overseeing $1.8 billion to SunTrust.

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