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Firms Asked to Affirm New Fiduciary Policies

Firms Asked to Affirm New Fiduciary Policies

Morning Brief: Consumer Group Issues Warning on “Advisors”

Consumer Group Issues Warning on “Advisors”

1/19/17 | Morning Brief

Stories of interest from around the web. Retail investors warned to question brokerage firms’ integrity | CNBC Former Lehman CEO…

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Michigan Team Bolts For Oppenheimer After Short Cantor Stint

Michigan Team Bolts For Oppenheimer After Short Cantor Stint

1/18/17 | Advisor Moves

When Cantor Fitzgerald & Co.’s fledgling wealth management unit lured a team of fixed-income brokerage specialists in Michigan from Morgan…

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Morning Brief: SEC Chief, in Departing Message, Worries About Trump

SEC Chief, in Departing Message, Worries About Trump

1/18/17 | Morning Brief

Stories of interest from around the web SEC Chair White concerned about deregulation under Trump | Washington Post Scaramucci sells…

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Morgan Stanley Lifts Big Team from JP Morgan in Beverly Hills

Morgan Stanley Lifts Big Team from JP Morgan in Beverly Hills

1/17/17 | Advisor Moves

(Updates with response from JPMorgan spokeswoman in eighth paragraph.) Although Morgan Stanley is “comfortable” with the small shrinkage in its…

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New Mexico LPL Broker Barred For Failing to Testify

Parties: Financial Industry Regulatory Authority Department of Enforcement vs. Ronald Edward Siemon Background: Siemon entered the industry in March 1986.…

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LPL Broker Fined and Suspended After Accepting $60k in Loans

Parties: Financial Industry Regulatory Authority Department of Enforcement vs. Bradley Ross Thompson Background: Thompson first registered with FINRA as a…

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Hilliard Lyons Broker Barred For Refusing to Testify

Parties: Financial Industry Regulatory Authority Department of Enforcement vs. Henry Al Dean Watson Background: Watson entered the securities industry in…

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UBS Recovers $219K from Former Broker in Promissory Note Case

Claimant: UBS Financial services, Inc. and UBS Credit Corp. Respondent: Roger Bell Nature of Dispute: Member and Non-Member vs. Associated…

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