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January 15, 2019

Wells Fargo Loses More Veteran Reps to These Rivals
Four advisors have left for First Republic Bank and one rep has jumped ship to Stifel.
Why the Ohio National Annuity Legal Debacle May Resolve Faster Than You Think
Some plaintiff lawyers see the issue as a straight-up breach of contract.
Credit Suisse Fights to Vacate Deferred Comp Award for UBS Rep
Swiss bank’s U.S. broker-dealer is seeking to vacate a $975,530 award made by a Finra panel.
LPL Nabs Bank-Based Advisors from Raymond James
Third Oak Investment Services oversees around $200 million.
RIA M&A Sets Sixth Consecutive Record in 2018
The average size of the deals was also around 30% higher than the previous year.
Indiana Brokerage Fined $125K Over Alleged Annuity Supervision Failures
CFD Investments allegedly failed to supervise suitability concerns of annuity share classes.