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July 19, 2019

Morgan Stanley Ordered to Pay $3.3 Million After Apparently Concealing Evidence
The Finra arbitration concerned Puerto Rico bonds.
Trump Names DOL Rule Killer and Justice Scalia's Son as New Labor Department Boss
Eugene Scalia is set to replace Alexander Acosta, who resigned over criticism of his role in the plea deal of convicted sex offender Jeffrey Epstein.
Morgan Stanley Brags Record Profit Shows "Resilience" of its Model
The wirehouse generated annualized average revenues of $1,125,000 per financial advisor.
Carson Names Two New Co-Presidents
Aaron Schaben will lead business growth and development and Teri Shepherd will head institutional and retail-focused businesses.
Cetera Lures Former U.S. Bancorp Wealth Management Practice
Point Wealth Advisors oversees more than $230 million.
A Firm, its Execs and a Broker Ordered to Pay $1.16 Million Over Complex Product Sales
Berthel Fisher & Co. allegedly sold clients inappropriate complex products including real estate investment trusts and direct participation programs.
New RIA Clients Accounted for Far More AUM Growth Than Existing Clients in 2018
Five times more asset growth came from new clients compared to growing assets of existing clients, according to a recent survey.