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Wirehouse Wars: Morgan Stanley Hires Another “Top Woman” Advisor from UBS
Customers Pull Suits Opposing Schwab Purchase of TD Ameritrade
Stifel to Pay $3.6 Million for Unsuitable UIT “Switching” Sales
Finance CEOs Worry Markets Are Too Optimistic About Economy
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Advisor Moves
Wirehouse Wars: Morgan Stanley Hires Another “Top Woman” Advisor from UBS
UBS Loses $7.5-Million Team in D.C. Suburb, Veteran Woman Advisor in New Jersey
Wells Recruits $3.5-Mln UBS Family Team, Million-Dollar RBC Producer
$2-Million Wells Fargo Team Joins LPL’s New “Wirehouse” Channel
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Enforcement
Finra Fines Kestra Over Recruiting Practice Jeopardizing Customer Privacy
Finra Sanctions Ex-Oppenheimer Broker over UIT Trades
Finra Suspends 25-Year Broker Who Took Shortcuts with Account Documents
Oppenheimer to Pay $4.7 Mln for UIT Rollover Violations
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Opinion
Opinion: Coronavirus – What Advisors Need to Know
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
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Fintech News
Robinhood Fixed Issue That Displayed Incorrect Portfolio Values
Bitcoin’s Bounce Back Over $9,000 Masks a Potential Downtrend
Thiel-Backed Firm Helps Ultra-Wealthy Trade Hedge Fund Holdings
Rita Cheng of Blue Ocean Global Wealth on Building Relationships With Digital Tools
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From the Publisher
Coronacrash Update: BNY Mellon | Pershing’s Ben Harrison & Tony Sirianni
Coronacrash Update: Fieldpoint Private’s Christopher DeLaura & Robert McCabe with Tony Sirianni
Coronacrash Update: D.A. Davidson’s Michael Purpura & Tony Sirianni
Coronacrash Advisor Insights: B. Riley Wealth Management’s Walker Hays & Tony Sirianni
Coronacrash Advisor Insights: 3xEquity’s Jeff Crosby & Tony Sirianni
Coronacrash Advisor Insights: B. Riley Wealth Management’s Jason Beard & Tony Sirianni
Coronacrash Advisor Insights: Janney Montgomery Scott’s Nathan Snyder & Tony Sirianni
Coronacrash Advisor Insights: Intellectus Partners’ David La Placa & Tony Sirianni
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