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MORGAN STANLEY MOTIVATION: Brass Brags About Protocol Exit Legal Strategies

As the quarterly results were announced at Morgan Stanley, one thing becomes abundantly clear. Wealth management, and it’s associated fees, are the goose that lays the golden egg. Better than 40% of total revenue for the quarter came from the

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October 10, 2019

HIGHTOWER ROADMAP: Street Expects HighTower To Be Acquired Similar To Goldman/United Transaction

 In conversations with several industry veterans and experts, the eventual plight of HighTower Advisors, could mirror that of United Capital. An acquisition of scale is preferred by HighTower’s current leadership (and its monied investors) and is driving their current in-house

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October 8, 2019

MAD MEN MAIL SAGA: State Regulators Are Now Monitoring Your Politically Correct ‘Buddy’ Emails

For a decade former NFL head coach, Herman Edwards, held a rookie symposium that espoused the dangers of the language and context of social media for athletes. His refrain rang true, “Don’t Press Send”, and seriously consider your image and

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October 3, 2019

WITNESS PROTECTION: Questionable Advisor Practices Can No Longer Hide In The Shadows; Ex-Morgan Stanley Broker Censured

Over the past two decades several different structured products within the wealth management industry have tempted advisors to prove themselves gluttonous. High margin fees are the drug that can be difficult for certain advisors to resist. Now, Finra continues to

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September 30, 2019

UBS RIA BREADCRUMBS: Where Is The Swiss Bank Headed As It Wades Into Unfamiliar Territory?

UBS has planned to launch an ‘independent advisory’ channel for more than a year. Much like they’ve done time and again versus rivals Morgan Stanley and Merrill Lynch, UBS has stayed ahead of the curve when it comes to moving

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September 23, 2019

LEGAL EAGLES: UBS Fired Top Ohio Broker Based On ‘What If’ Scenarios

At this point we shouldn’t have to continue to bring it up, but we will anyway: be certain you have your own personal, securities legal counsel at all times as an advisor. No matter your standing, loyalty to the firm,

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September 16, 2019
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