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June 25, 2019
College Scandal Mastermind Had Longstanding Ties with Morgan Stanley Advisors, News Reports
A complex manager in California reportedly hired William "Rick" Singer to help her own children.
Raymond James Plans Big Play to Keep RIA-Bound Advisors
The program leverages the Raymond James Financial Services corporate RIA rather than requiring an independent RIA to operate as fee-only, says the company.
Why This UBS Advisor Sees Opportunity Zone Funds Proving a Hit With Young ESG Investors
And a raft of extra reporting obligations won't dampen that demand, he thinks.
Citi Ordered to Pay Fines For Unit Investment Trust Sales
Finra says Citigroup Global Markets allegedly failed to apply sales charge discounts on eligible UIT purchases for six years.
Congresswoman Aims to Block SEC’s Reg BI Through Funding Amendment
The House representative has introduced an amendment to bar the regulator from spending funds enforcing the regulation.
Boss "Outraged" Over Penalty For Failing to Supervise Ponzi-Scheming Broker
CEO says the jailed broker created the scheme two years after leaving his firm.
Merrill Lynch Sheds a Dozen Advisors
Several advisors have jumped ship to Ameriprise, Raymond James and Janney while two teams have gone independent.
SEC Bars Ex-RIA Already Sentenced to 13 Years in Prison
The man also agreed to pay disgorgement of more than $3 million as part of the recent settlement with the SEC.
Sponsored WebcastArchive: Danger: Compliance Risks for Advisors and How to Turn them into Opportunities
Satisfying compliance requirements adds steps and time to simple tasks, but financial advisors know they can’t risk skipping any of them. This webcast, sponsored by Seismic, discusses how smart processes can help advisors turn these requirements into opportunities to stand out among their peers.
|The Client - Finding and winning new clients||The Client - Client retention|
|The Client - ERISA plans/institutional management||The Client - Behavioral finance|