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July 10, 2019

UBS and Two Brokers Smacked $125K in Breach of Fiduciary Duty Claim
The investors were originally seeking close to $850,000 in damages.
Raymond James Compliance Associate Barred Over Allegedly Inaccurate Bookkeeping
The man was allegedly able to change various figures to avoid follow-up work.
SEC Chief Slams Democratic Criticisms as False and Misleading
Chairman Jay Clayton is hitting back at critics in Congress who’ve called the Regulation Best Interest a gift to Wall Street.
How to Use Philanthropy to Win RIAs Wealthy Clients
Ensemble Capital has been using philanthropic advice to win new clients since 2006.
Why Finra’s Rogue Brokerage Proposal is Drawing Ire from Industry and Investor Advocates
Investor advocates say it doesn’t do enough while the Financial Services Institute says it gives the industry’s self-regulator too much leverage.
Video
2019 Exam Priorities May Give Clue to Future of Broker-Dealer Regulation
While 2019 regulatory exam priorities didn’t really hold any surprises, they nonetheless reveal the direction regulators may want to move in, experts say.  Video [ 5:53 ]   Transcript  
Carson Wealth Adds $566 Million RIA in Florida
Ruggie Wealth is the fifth practice with more than $500 million to join Carson Wealth over the past year.

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