Highlights for the week ending December 20, 2024 include:
- Advisor moves firm winners: Wells Fargo & Kestra
- RIA Agg winners: Captrust, Summit, Merit, Beacon Pointe & Apella
- Only 4 in 10 RIAs have a succession plan: DeVoe
- Corient is buying Maine’s largest RIA, $8 Bil H.M. Payson
- Constellation Wealth Capital closes $1bn raise through inaugural fund
- Wealth advisory M&A activity verges on record-breaking year
- LPL agrees to search records, broker devices for Ameriprise client data
- 10 worst financial advisor legal/compliance cases of 2025
- UBS fined $3.5 Mil for alleged lax supervision of short-term trading
- Merrill to pay $5 Mil in overtime claims settlement
- Baird wins $4.8 Mil in raiding claim against Raymond James & VA brokers
- JPMorgan, BofA and Wells Fargo sued over alleged Zelle fraud
- Ed Jones, Osaic, Cambridge owe $8.2 Mil in restitution for excess feesors, trainees
- Morgan Stanley to pay $15M for missing signs brokers were stealing client money
- Fidelity customers claim thousands stolen from accounts
  and much more...

Highlights for the week ending December 13, 2024 include:
- FA Transition firm winners: Ray Jay, Stifel, LPL, Perigon
- RIA Agg winners: Homrich Berg, Lido, Mercer, Hightower, Merit
- UBS goes lower: reorg puts HNW, mass affluent clients in play
- Fired LPL CEO Dan Arnold keeps $12M of stock options in settlement
- Ellevest CEO Sallie Krawcheck to step down for health reasons
- TradePMR, Robinhood plot referral program for RIAs
- SEC fines broker $2.1M over options strategy that cost clients millions
- Merrill to pay $4.9M to settle overtime suit from salaried advisors, trainees
- Morgan Stanley to pay $15M for missing signs brokers were stealing client money
- Fidelity customers claim thousands stolen from accounts
  and much more...

Highlights for the week ending December 6, 2024 include:
- Top FA transition firm winners - Rockefeller, ML, Wells, Concurrent, Kestra
- UBS lowers some advisor payouts
- DC battle heats up as ex-ML FAs lob fresh claims
- MS wil try again to reverse court's DC ruling
- $97B WEG to disaffiliate from LPL
- UBS faces french criminal trial for harassing whistleblowers
- FINRA fines & suspends FA's who referred clients to RIA & undisclosed hotel biz
- Survey finds 83% of FA's are happy they switched firms, 35% wish they did it sooner; FA's also say 1st & 3rd qtrs best time of year to switch...
  and much more...

Highlights for the week ending November 22, 2024 include:
- Advisor moves winners: Morgan Stanley, BofA, UBS & Wells Fargo
- UBS trims 2025 teaming bonus, lowers grid payouts
- LPL raises target for advisors' bonuses for first time in a decade
- Schwab ‘evaluating’ fee hike on referral program for advisors
- Wells Fargo advisors’ broker recruiting head exits
- UBS aims for US expansion with banking license
- Robinhood to acquire $40B AUA TradePMR
- RIA Investor Merchant buys stake in another Wells Fargo FiNet practice
  and much more...

Highlights for the week ending November 15, 2024 include:

- Advisor Moves Wins for Ray Jay, Wells FiNet, Morgan Stanley & Allworth
- Wells FAs Have 'Huge Opportunity' with Bank Customers: CFO
- Morgan Stanley Sues Leader of $9-Mln RayJay Team 6 Months After Departure
- Merrill Faces Race Bias Suit Following New Mandatory Arbitration Policy
- How the Hightower Acquisition of NEPC Could Disrupt the Wealth and Retirement Industries
- Client Associates Put Ex-Employers in Litigation Crosshairs
- Ex-Branch Manager Accuses Wells Fargo of 'Extreme and Outrageous' Conduct
- and much more...