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November 12, 2018

Ex-Morgan Stanley Broker Goes After Wirehouse Alleging Defamation
The FA alleges the firm used Form U-5 to make him less employable.
Brokers Should Be Banned From Saying They Have Ongoing Duty of Care to Clients, Experts Insist
The SEC should ensure brokers aren’t marketing themselves as providing ongoing best interest advice, advisor group says.
UBS Strikes Back Over Justice Claims in Mortgage-Backed Securities Lawsuit
The U.S. government says the Swiss bank’s actions caused billions of dollars in losses to investors.
FAs Are Making Critical Mistakes in IRAs, Expert Warns
Advisors who avoid these IRA mistakes may save their clients boatloads.
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Advisor Moves: UBS Loses Another FA to Raymond James
And chalk up one more win for LPL Against Cetera.
DOL Proposes Auto-Portability for 401(k) Plans
The proposal is aimed at preventing of “leakage” from the plans when employees change jobs.