Brokers

 Commentary, news and links of interest to financial advisers.

Investment Advisor
Brokers

Brokers Say Moving to RIA Was Positive 

A new report from TD Ameritrade Institutional, which gathered data from current and former brokerage reps, illustrates a generally positive attitude toward the RIA channel and signals a continuation of the migration trend.The findings from the 2019 Benchmarking and Independence report showed that 44% of brokers surveyed said the likelihood […]

Insider Trading
Brokers Investors

Insider Trading Attorney

Insider trading is a serious securities fraud violation, which has significant civil, and criminal, penalties. In recent years, the SEC and the Courts have expanded the definition of insider trading, which can now include trading insiders, and those who get information from insiders and even the random man in the […]

Brokers

UBS Pulls a Fast One on its Own Employees

Only a few months after withdrawing from the Protocol, UBS Financial Services is requiring brokers waiting for their 2017 bonuses to sign agreements that open them to lawsuits and arbitration complaints if they try to contact former clients within 12 months of leaving the U.S. broker-dealer unit of the Swiss bank. […]