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August 13, 2020

Ex-Morgan Stanley FA Suspended Over Third-Party Account Trading
Christopher Reid was allegedly involved in 200 trades in an outside account in less than three months, with the account losing 90% of its value.
Finra Suspends Ex-Broker Over Impersonation of Customers, Supervisor
Michael Edward Feeley allegedly impersonated two customers and his supervisor at Northwestern Mutual Investment Services to obtain insurance contract and policy information from an unnamed insurance provider.
40% of Arbitrators are Ex-FAs and Favor Brokers in Disputes: Report
The difference between having industry- and customer-friendly arbitrators can translate to a difference of tens of thousands of dollars in customer awards, according to Harvard Business School researchers.
Robinhood to Hire Hundreds of Staff in Texas and Arizona
The company has already doubled its support staff since January.
Morgan Stanley Sued Again Over Client Data Breaches
The latest suit, filed by Martin Behar, is at least the third suit related to alleged data breaches dating back to 2016.
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Robos Lag Behind Nasdaq Composite in Q2, In Line with S&P 500
While the average robo-advisor portfolio gained 19.66% in the second quarter, the Nasdaq Composite rose 31%.
ESG Funds Surpass $1T in Wake of Covid-19 Pandemic
Governments are keen on a green recovery from the crisis as investors’ interest in green projects grows as well, accoding to recent reports.
FAs Reconsidering Annuities Amid Covid-19 Volatility: Cerulli
But more education will be necessary to convince investors to buy them, according to the research firm.

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