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July 9, 2019

Morgan Stanley Wins TRO Against Broker Who Fled to Wells Fargo
The wirehouse has a recent track record of winning similar such TROs over breakaways.
The Critical Thing Wirehouses (Except UBS) Lack in ESG Offerings
Only UBS has signed the Workforce Disclosure Initiative.
USAA Ordered to Pay $1.8 Million to Fired Brokers
The panel also recommended the expungement of the reasons for termination for the brokers.
UBS Veterans Managing $350 Million Reportedly Go Indie
The duo have registered with an LPL-affiliated practice.
SEC Bars and Fines Former Broker for Inflating His Firm’s Assets
The man also allegedly falsely claimed the company was SEC-registered when it wasn’t.
N.Y. State Lawmaker Reviving State-Level Fiduciary Rule Bill
Assemblyman Jeffrey Dinowitz says the state rule would be “stronger” than the SEC’s Regulation Best Interest.
Why Wealth Management M&A Deals are Reaching Record Heights
The second quarter saw 52 transactions, with enough momentum for a new record for the year, research says.

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