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Fired Texas Advisor Overcomes Firm Claim for Reimbursement
Mega-Family Offices Strike Transatlantic Alliance to Woo Wealthy
Bob Oros to Become HighTower’s New CEO—Sources
Vanguard Tumbles in Customer Satisfaction After Digital Snafus
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Advisor Moves
Prominent RayJay Producer Fired Over UIT Sales Joins Stifel
Indie Brokers Shuffle Intramurally; Cetera, RayJay, Sanctuary Hire from Wires
Multimillion-Dollar UBS Teams in Ohio Join Wells Fargo
First Republic Hires Another Merrill Broker in California
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Enforcement
Finra Bars Wells Broker Whose Client Helped Him Qualify for Designation
SEC Fines Wisconsin RIA for Failing to Disclose Fee Conflicts
SEC Bars and Fines Former Raymond James Manager in Ski Resort Case
Ex-Morgan Stanley Broker to Plead Guilty in Insider-Trading Case
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Opinion
Wall Street Drags Main Street Into a Fee Dispute: Nir Kaissar
Here’s a Way to Help Tell Good Brokers From the Bad: Nir Kaissar
How to Debate Finance Without Being a Jerk: Barry Ritholtz
Merrill Can’t Restore the Bad Old Days of Conflicts: Nir Kaissar
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