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Finra Suspends Ex-Morgan Stanley Broker Who Advised on Outside Trading
De-Wired: $1-Bln UBS Trio Joins Stifel, $675-Mln Morgan Stanley Quartet to RBC
Phil Scott, $18-Million Merrill Superstar, Joins First Republic
$3 Mln-Merrill Lifer in Vegas Exits After 37 Years, Launches RIA
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Advisor Moves
De-Wired: $1-Bln UBS Trio Joins Stifel, $675-Mln Morgan Stanley Quartet to RBC
Phil Scott, $18-Million Merrill Superstar, Joins First Republic
$3 Mln-Merrill Lifer in Vegas Exits After 37 Years, Launches RIA
UBS Nabs Chicago Bank Broker with About $1 Mln of Revenue
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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
Jay Z, Charles Schwab-Backed Ethereum App Opens Doors to Public
Goldman Says Pandemic Is Giving a Boost to Digital Banking
Robinhood Is Democratizing Markets, Not Disrupting Them: Nir Kaissar
Banks Say They’re Gaining Against Fintechs During Pandemic
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From the Publisher
Timely interview with John Peluso and AdvisorHub CEO Tony Sirianni
Coronacrash Update: Hayden Royal’s Louis Dworsky & Tony Sirianni
Coronacrash Update: Stratos Wealth Partners’ Jeff Concepcion & Tony Sirianni
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
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