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November 24, 2020

Securities America Loses $1B FA Team to LPL
Arizona-based Verus Capital Partners has around 30 advisors across the Southwest.
Finra Suspends, Fines Ex-Stifel Rep Over Early UIT Rollovers
Stifel had agreed to pay $3.6 million in May to settle alleged violations related to early rollovers of UITs.
Lessons from the Big Leagues on Diversity Programs
Major League Baseball’s recent diversity initiative could provide a template for similar programs in the brokerage industry, says a former MLB diversity team leader.
CI Financial to Add $4.7B Texas-based RIA
RGT Wealth Advisors will be CI's largest U.S. acquisition since it entered the market in early 2020, according to the CI's CEO.
Video
Broader Reforms Needed to Bring Alts to DC Plans
Major regulatory reforms will be necessary for defined contribution plan participants to get greater access to alts strategies, according to industry executives.  Video [ 3:24 ]   Transcript  
Finra Arb Panel Rules for UBS in Complex Investment Dispute
The claim was related to UBS’ Yield Enhancement Strategy offering, which lawyers for investors have claimed caused at least $60 million in losses in 2018 during volatile markets.
MAI Adds St. Louis Wealth Mgmt Firm
The addition of Greenway Family Office is MAI’s second this year.
DC Plan Retirement Savings Remain Mostly on Track: ICI
The Investment Company Institute found a small uptick in withdrawals this year, a smaller rate of hardship withdrawals compared to last year, and limited participation in the penalty-free withdrawals allowed under the Cares Act.

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