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RayJay ‘Elevating’ Asset Management Capabilities: Exec

Asset management has “long been a very positive differentiator and a tailwind for financial advisors in terms of how you deliver investment solutions and advice to your clients,” according to Private Client Group President Tash Elwyn.

Photo: Raymond James

Focus Flings Trademark-Infringement Suit at Departing FAs

Focus Financial Partners is suing three of its former advisors who set up as Mosaic Value Partners on Mariner's independent network, claiming that's too close a name to Focus network firm Mosaic Family Wealth Partners.

UBS Loses Bid to Vacate $95M Award over Tesla Short Sales

The company had argued that an arbitration panel exceeded its power in awarding damages that were almost triple what the plaintiffs had sought.

'Dr. Cash' Ordered to Pay $1.7M to Ponzi Scheme Victims

The SEC obtained final judgment against Terrence Chalk, who is currently serving a three-year prison sentence.

Swiss Parliament Pushes Back Decision on UBS Capital Rules

The Economic Affairs and Taxation Committee of the upper house said it wants to consider alternatives and continue the debate in August, according to Reuters.

Editor's Pick

Geopolitics Overtakes Volatility as Advisors’ Top Client Worry

More than 30% of advisors said they’ve increased proactive outreach to clients amid the prolonged geopolitical uncertainty, according to a recent InspereX survey.

Geopolitics Overtakes Volatility as Advisors’ Top Client Worry

More than 30% of advisors said they’ve...

Geopolitics Overtakes Volatility as Advisors’ Top Client Worry

More than 30% of advisors said they’ve increased proactive outreach to clients amid the...

Editor's Pick

AI a ‘Powerful Tool’ to Assist, Not Replace, FAs: LPL CEO

Meanwhile, as LPL has seen "strong progress" with its Commonwealth Financial Network integration, the firm is turning its recruiting focus to "external opportunities," LPL CEO Rich Steinmeier...