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December 6, 2018

Edward Jones Settles Lawsuit Against Fired Advisor
The firm had sought to bar the FA from contacting former clients.
UBS Reverses Course on Non-Solicit Clause and Bonuses
Wirehouse says it won’t link non-solicit requirement to 2018 bonuses.
Law Firm Bulks Up With Ex-Finra Lawyers
Three of the attorneys join directly from Finra, according to the firm.
Glitch Costs LPL Hundreds of Thousands of Dollars
The software glitch allegedly led to improper review of certain emails by LPL supervisors.
Deloitte Reveals Keys to Bank Advisor Success in 2019
Improved customer experiences and expanded service offerings may be just as important as investment performance.
Mercer Completes Acquisition of Canadian Wealth Management Business
The consulting firm continues its buying streak with the purchase of several business lines of Winnipeg-based Pavilion Financial Corporation.

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