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2019 Comp: RayJay Leaving Pay Plan Untouched for Branch Brokers
Nickel-and-dime Trading Violations Yield Big Fine for Small Firm
Morgan Stanley Seeks TRO Against Team that Jumped to Stifel in Illinois
SunTrust Expands in Los Angeles with Private Banker from Wells
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Advisor Moves
Morgan Stanley Loses $644 Mln-Asset Team to Stifel
Ameriprise, RayJay Pick Up Multi-Million Teams, from Wells and UBS
UBS Team with Nearly $3-Mln in Production Opens RIA in Denver
Rockefeller Makes First Advisor Hire With Billion-Dollar HighTower Team
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Enforcement
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
Finra Bars Broker for Expensing ‘Phantom’ Client Events (Knicks, Kanye Concert, Steakhouses)
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Opinion
Merrill Can’t Restore the Bad Old Days of Conflicts: Nir Kaissar
Reflections on What Happened 3 Years Ago and its Impact on ETF Trading
For Advisors, Stifel’s Actions Speak Louder Than Words
Active Money Management Isn’t Going to Disappear: Barry Ritholtz
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