April 23, 2018

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Commissioner Stein says proposal misplaces onus on the retail investor to understand BD’s best interest obligations.

The advisor had been discharged over allegedly transferring out clients’ money for his own benefit.

Cadaret, Grant & Co. services more than 900 financial advisors across 475 offices around the country.

Many critics say the securities watchdog didn’t go far enough and some believe its attempts at more clarity have been futile.

FA worked on a team with $1.08 billion in assets at JPMorgan.

Echelon Partners attributes the higher-than-average number of breakaways in the first quarter to recent exits from the Broker Protocol.

ThinkTank: Latest Published Content

Currency outlook: Deflationary risks dissipate across global economies
Invesco Ltd.

The Next Generation of Trust
CFA Institute

The 5-Minute Forecast 2Q18
Hartford Funds

All Asset All Access, April 2018
Pacific Investment Management Company LLC

AAM Viewpoints – Spiking Investor Fear May Indicate a Buying Opportunity
Advisors Asset Management

Global Credit Economic Summary & Outlook
Tortoise

Fixed Income Markets Review: 1Q18
Diamond Hill Capital Management

Topics

All Topics

The Client - Finding and winning new clients Raymond James Nabs Four Wells Fargo FAs Ron Carson Names 32-Year-Old His Successor Top Advisors Divulge Keys to Winning Trillions in Millennial Business	The Client - Client retention Raymond James Nabs Four Wells Fargo FAs Top Advisors Divulge Keys to Winning Trillions in Millennial Business Implement Boundaries and Structure with Volatile Clients
The Client - ERISA plans/institutional management Galvin Keeps Heat on Scottrade Fiduciary Rule Case Midterm Wins for Dems Could Lead to More State Fiduciary Rules	The Client - Behavioral finance Wealthy Clients Are Pessimistic About Longevity and Healthcare Costs Implement Boundaries and Structure with Volatile Clients

The Assets - Portfolio management SEC Unveils Best Interest Regulation But Critics Complain It Merely Maintains the Status Quo Merrill Lynch, RBC FAs Reveal Their Game-Changing Client Moves	The Assets - Insurance planning SEC Plans to Limit Who Can Call Themselves a Financial Advisor Insurance Commissioners Are Crafting Their Own Best Interest Standard
The Assets - Estate planning Raymond James Rolls Out Tool for Gathering Client Asset Data Don't Be Afraid to Make Meetings Mandatory	The Assets - Tax planning Loss of Roth 'Mulligans' Seen as Planning Crimp

The Practice - Technology How Hires From Morgan Stanley Beef Up Advizr’s IBD and Fortune 500 Offerings Merrill Lynch and UBS Lose FAs to Raymond James	The Practice - Fees and compensation Doug Ketterer’s Outfit Buys $23B Indie Broker-Dealer Advice Industry Casts Big Doubts Over SEC’s Best Interest Standard Raymond James' Alex.Brown Nabs Advisor from JPMorgan
The Practice - Staffing and recruiting Morgan Stanley Wins $6 Million Payment From Fired FA Breakaway Activity "Rampant" in First Quarter Raymond James' Alex.Brown Nabs Advisor from JPMorgan	The Practice - Regulatory/legal issues SEC Commish Blows Apart “Disappointing” Best Interest Rule Breakaway Activity "Rampant" in First Quarter

1	Merrill Lynch, RBC FAs Reveal Their Game-Changing Client Moves
2	Sacked Morgan Stanley Advisor Ordered to Pay Back $372,000
3	Merrill Lynch Loses 124 FAs in 1Q But Confident About Future Growth
4	Wells Fargo Loses 258 FAs Year-Over-Year
5	This Upcoming SCOTUS Decision Could Hogtie the SEC

1	Top Advisors Divulge Keys to Winning Trillions in Millennial Business
2	Merrill Lynch, RBC FAs Reveal Their Game-Changing Client Moves
3	Wells Fargo Loses 258 FAs Year-Over-Year
4	Merrill Lynch Loses 124 FAs in 1Q But Confident About Future Growth
5	SEC Unveils Best Interest Regulation But Critics Complain It Merely Maintains the Status Quo

1	Top Advisors Divulge Keys to Winning Trillions in Millennial Business
2	Wells Fargo Loses 258 FAs Year-Over-Year
3	Wells Fargo Loses Reps to Raymond James, BNY Mellon
4	SEC Unveils Best Interest Regulation But Critics Complain It Merely Maintains the Status Quo
5	Fired UBS Employee Looks to Mount Class Action for Age Discrimination