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Top Stories of the Week: Ex-Merrill Star Tom Buck Sentenced, UBS Indie, Merrill Exec Comp, And Others
Another Credit Suisse Transplant Leaves Wells Branch Near Philadelphia
UBS Team Overseeing $274 Million Goes Indie with RayJay in Houston
The Best-Paid Hedge Fund Managers Made $7.7 Billion in 2018
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Advisor Moves
Morgan Stanley, Wells Fargo Lose Teams to Independent Firms
Merrill Teams in Texas, Ohio and Georgia Shift to Competitors
Morgan Stanley Loses Miami and Chicago Private Wealth Leaders
First Republic Hires $4.7 Mln Wells Team in San Diego, Reports 18% Wealth Asset Rise
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Enforcement
Tom Buck, Merrill’s Former Top Indiana Broker, Gets 40 Months in Prison
Finra Fines Kestra for Mutual Fund Share-Class Sale Violations
Finra Bars Broker for Gaming Merrill’s Mutual Fund Share Order System
Woodbridge, Owner Ordered to Pay $1 Billion for Ponzi Scheme
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Opinion
Life Is Nasty, Brutish and Short for a New ETF: Barry Ritholtz
Stocks, Bonds and Other Diversification Pairings at Risk: Steven Sears
Vanguard Defends the Value of Active Bond Funds: Brian Chappatta
From the Publisher: Introducing AdvisorHub Boutique
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Fintech News
JPMorgan to Use Cryptocurrency for Corporate-Payments Business
Crypto Carnage Puts Bitcoin Tracker’s Plan for Basket on Hold
Silicon Valley Bros Build Billion Dollar Cyber-Security Fortunes
Fidelity Is Said to Plan March Launch of Bitcoin Custody Service
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RIA Resource Center
Information surrounding options for becoming an independent RIA, key benefits, economic potential and the role of the custodian.
In The Still of The Night – The Stealth Launch of Wells’ First RIA
Chequers Financial Management & Schwab Advisor Services
Sirianni Op-Ed: Predictions 2019
Charting your own course: Discover five business models for the modern RIA
Solving the Financial Documentation Compliance Challenge
Advisor Space Movement, Trend or Choice and Value?
The Rise of the Hybrid RIA – A Financial Services Odyssey
Forward Momentum: Why Elite Teams Claim Their Future as RIAs
Equity…. the pros and cons. What’s really under the hood?
Schwab’s Tim Oden at Advisor Hub’s Industry in Transition Summit
Want a Succession Plan? Get Out of Your Own Way
The Treat is for the Taking: The Anniversary of Morgan Stanley’s Halloween Protocol Withdrawal
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