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May 9, 2018

Big Firms Could Lose 12% Topline in a Big Market Slide
One expert says losses could be around 36%.
Fifth Third Sanctioned $6M Over Annuity Disclosure Failures
Finra fines the firm and orders it to pay restitution in a second major annuities enforcement action against the firm.
Wells Fargo Loses Reps to Raymond James, Steward Partners, Baird
Exodus continues as Wells Fargo’s wealth management unit gets scrutinized by regulators.
Small Brokerages Lose out as Big Banks Take In Trading Revenue
And the rise of ETFs and the decline of active management is partially to blame.
Five Years in Prison and Massive Restitution Penalty for Swindling FA
FA ran a 25-year-long scheme that raised millions from investors.
What to Consider When Selling Your Firm
There's a lot of M&A activity at the moment. But how do you get the most out of a sale?  Video [ 4:38 ]   Transcript