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November 19, 2020

FA Accused of Running Ponzi Scheme Charged with Murdering Client
Keith Ashley is accused of staging the death of one of the alleged victims of a $1.9 million Ponzi scheme.
Former LPL FA Sentenced to 3+ Years in Prison Over $5M Fraud
James Booth had fleeced around 40 investors out of close to $5 million and was facing up to 20 years in prison.
UBS Forms Strategic Wealth Mgmt Segment for Athletes and Entertainers
The company has also appointed former NFL star Adewale Ogunleye as head of the new unit.
Ponzi Schemer Who Tried to Flee Underwater Charged in $35M Fraud
A California resident accused of running a $35 million Ponzi scheme failed to evade law enforcement in a doomed escape attempt involving an underwater submersible “scooter.”
RIAs Helping Ease FAs’ Stress As They Work Longer Amid the Pandemic
Identifying inefficiencies in work practices that cause longer hours is the first step in helping advisors manage their time and stress, one industry executive says.
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Archive: FutureProof: How Will You Protect Your Clients if Inflation Hits?
While the Fed’s new inflation-tolerant policy does not guarantee prices will rise in the near-term, it may be time to start thinking about how to position clients for the future.
How RBC Wealth Management is Bringing in a Diverse Advisor Force
The firm has partnered with organizations and colleges to attract diverse financial advisor candidates.  Video [ 2:43 ]   Transcript