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This Week’s Top Stories: Merrill Stands by Recruiting Freeze, UBS Hires Big Private Wealth Team, And More
Wells’ FiNet “Fabricated” Reason for Firing Indiana Brokers, Arbitrators Rule
UBS Hires $16.7-Mln Merrill Lynch Private Wealth Team
Independent Firm to Pay $400,000 for Failing to Catch Brokers Who Stole Millions
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Advisor Moves
UBS Hires $16.7-Mln Merrill Lynch Private Wealth Team
First Republic Hooks $2.5Bln-Asset J.P. Morgan Team in Florida
Multimillion-dollar UBS Broker in Calif. Goes Independent with Wells
Rockefeller Nabs $1.3-Bln-Asset Morgan Stanley Team in Atlanta
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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
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
Robinhood Traders Discovered a Glitch That Gave Them ‘Infinite Leverage’
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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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RIA Resource Center
Information surrounding options for becoming an independent RIA, key benefits, economic potential and the role of the custodian.
So You Want to Break Away from a Non-Protocol Firm
The RIA Roadmap: Your essential guide to making the transition
Bonding Considerations for Advisors
Do RIAs Need Liability Insurance?
Bad Move – Being Part of a Raid
Playing The Long Game – LPL Focuses On Long-Term Relationships With Their Advisors
Spotlight on Registration Requirements and Filings for Investment Advisors and their Employees
Spotlight on State Registration Requirements for “Small” Investment Advisors
TRENDING: The RIA Lift-Out
Increasing Financial Literacy: Tips to Educate and Engage Clients
Spotlight on Advisory and Fee Agreements
Spotlight on Transitioning from a Big Bank or Wire House to Your Own Investment Advisory Firm
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