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Pershing Ordered to Pay $5.6 Mln to Victims of Stanford Ponzi Scheme
Wirehouses Lose California, Florida Brokers with $612 Mln AUM to Stifel, RayJay
Stifel and Pittsburgh Broker Ordered to Pay Client $500K for Unsuitable Investments
Schwab Awarded 16-Month Injunction Against Broker Who Jumped
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Advisor Moves
Wirehouses Lose California, Florida Brokers with $612 Mln AUM to Stifel, RayJay
First Republic Hires $4.3-Million Wells Team to Open Office Near Seattle
First Republic Puts Big California Producer on Leave
Wells Fargo Advisors Lauds 2020 Recruiting Harvest
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Enforcement
Oppenheimer to Pay $4.7 Mln for UIT Rollover Violations
Credit Suisse to Pay $6.5 Mln for Direct Market-Access Violations
J.P. Morgan, Schwab Win Orders Handcuffing Breakaway Brokers
Merrill, Raymond James to Pay $12 Million for 529 Plan Sales Violations
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Opinion
Opinion: Investors Conquered Fees but Not Their Own Behavior
Investor Confidence in Stocks Rightly Declines: Opinion
Opinion: Schwab’s Zero Commission Decision Challenges Its RIA Clients
Millennials’ Portfolios Should Start to Leave Home: Nir Kaissar
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Fintech News
Goldman Loses Crypto Czar as Another Tech Partner Departs Bank
Visa’s Plaid Takeover Signals Wave of Fintech Deal Making
Need to Move $1.6 Billion? Bank of America Has an App for That
Robinhood Is Back in Washington’s Crosshairs After Leverage Glitch
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From the Publisher
Shirl Penney Opens Up About Envestnet Deal
Sirianni: Mega Trends: 2020 Predictions
Join AdvisorHub in Helping Children in Need
Seven Questions with Tony Sirianni: Richard Frick of Gladstone Wealth Group
Seven Questions with Tony Sirianni: BlackRock’s Elizabeth Koehler
Seven Questions with Tony Sirianni: Fidelity’s David Canter
Seven Questions with Tony Sirianni: Cetera Financial Group’s Richard Whitworth
Sirianni: Zero Com just gave RIAs a 21% increase in Comp overnight
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