April 18, 2019

Print This Issue

Text A A A

Previous Issue

Revenues remained flat for 2019’s first quarter.

The list highlights early adopters of a new standard for impact investing.

Managing client relationships is becoming more important to the group.

The regulator’s examiners found various instances of inadequate safeguards and missing polices and procedures.

Singer Xenos Schechter Sosler marks Mariner’s sixth acquisition this year.

MAI Capital Management has bought the Akron-based $100 million RIA, and more deals are on the horizon.

UBS Reps in Dallas Go Indie

Wealth Partners Alliance has registered with Raymond James Financial Services' independent channel.

Finra Bars Another Former LPL Broker

The FA allegedly refused to testify for an investigation into whether she had sold products that belonged to her supervisor or LPL.

But some RIAs say it’s about time the brokerage industry was held to a higher standard.

Topics

All Topics

The Client - Finding and winning new clients Why Merrill Lynch is Now the Belle of BoA's Ball Morgan Stanley Breakaway Reveals Lessons He Learned Surviving Cancer Merrill Lynch Loses Another FA to This Rival	The Client - Client retention Wells Wealth Results Less Than Encouraging Morgan Stanley Breakaway Reveals Lessons He Learned Surviving Cancer Morgan Stanley Pins Hopes on Changing Judge's Mind in Texas Defection Fight
The Client - ERISA plans/institutional management Why Big Firms Have Paid Billions in ERISA Class Actions Maryland, Nevada Push for State-Level Fiduciary Rules	The Client - Behavioral finance The Dangers of Taking a 'Quantity Over Quality' Approach to Designations Here are the Clutch Moves to Ensure Client Wealth Transfer Keeps you in the Picture

The Assets - Portfolio management UBS Tries to Heed Advisors’ Call for More Consistency New Jersey Unveils State Fiduciary Proposal If You're Skeptical About ESG, You'll Love This Data	The Assets - Insurance planning Morgan Stanley Loses Appeal on Annuity Distribution Suit Judge Forces Ohio National into Arbitration Over Annuity Trail Commission Furor
The Assets - Estate planning How to Add Value -- and Keep Clients -- During Intergenerational Wealth Transfers Follow These Signs to Avoid Picking the Wrong Trust Provider	The Assets - Tax planning UBS, Morgan Stanley and Others Add OZ Tax-Break Vehicles to Wealthy Client Offerings "Give Us More Red Tape!" Opportunity Zone Investors Implore IRS

The Practice - Technology SEC Warns of Key Risks for Client Privacy and Data Security Why Advisors Say They're Moving to SEI's Revamped Platform	The Practice - Fees and compensation Wells Wealth Results Less Than Encouraging New Jersey Unveils State Fiduciary Proposal Merrill Lynch Loses Another FA to This Rival
The Practice - Staffing and recruiting Wells Wealth Results Less Than Encouraging Morgan Stanley Breakaway Reveals Lessons He Learned Surviving Cancer Morgan Stanley Pins Hopes on Changing Judge's Mind in Texas Defection Fight	The Practice - Regulatory/legal issues Why You Could be the Next Target of an SEC Probe After SCOTUS Ruling Wells Wealth Results Less Than Encouraging New Jersey Unveils State Fiduciary Proposal

1	Why Merrill Lynch is Now the Belle of BoA's Ball
2	Wells Wealth Results Less Than Encouraging
3	UBS Tries to Heed Advisors’ Call for More Consistency
4	Why You Could be the Next Target of an SEC Probe After SCOTUS Ruling
5	If You're Skeptical About ESG, You'll Love This Data

1	If You're Skeptical About ESG, You'll Love This Data
2	New Jersey Unveils State Fiduciary Proposal
3	Wells Wealth Results Less Than Encouraging
4	Why Advisors Say They're Moving to SEI's Revamped Platform
5	Why You Could be the Next Target of an SEC Probe After SCOTUS Ruling