May 25, 2018

Print This Issue

Text A A A

Previous Issue

Compensation plan going into effect this summer stresses cross-selling.

Taking your firm in a new direction can be a reset for fixing old errors and solving new dilemmas.

The wirehouse is first among wealth management firms to partner with a third party focused on diversity, according to ThinkAdvisor.

Lawyer claims client was instrumental in pushing through the unit’s sale.

Always Have a Contingency Plan

Prepare your own finances when you sense trouble from a large client.

How FAs Can Better Reach Female Clients

Women’s concerns about retirement planning differ from men’s and may require a different approach.

ThinkTank: Latest Published Content

Proxy Moxie -- Asserting Your Values by Voting Your Shares
Parametric Portfolio Associates® LLC

Hunker Down And Focus On The Facts
Mariner Wealth Advisors

When Fiscal and Monetary Policy Collide
Guggenheim Partners

Rewarding the Patient Investor: Red Rock Resorts
Diamond Hill Capital Management

Topics

All Topics

The Client - Finding and winning new clients Does BrokerCheck Do More Harm Than Good? Pioneers Reveal How a Desire for Personalization Can Be a Real Driver UBS Partners with Diversity Recruitment Platform	The Client - Client retention What Merrill Lynch Says About FA Pay Clawback Grumble Pioneers Reveal How a Desire for Personalization Can Be a Real Driver UBS Partners with Diversity Recruitment Platform
The Client - ERISA plans/institutional management Appeals Court Again Denies Bid to Save DOL Fiduciary Rule Three States Continue the Fight to Save DOL’s Fiduciary Rule	The Client - Behavioral finance Help Clients Avoid Social Security Regret Use Your Own Media to Counter Mass Media Hype

The Assets - Portfolio management Pioneers Reveal How a Desire for Personalization Can Be a Real Driver The Key Role Finra Would Play in the SEC's Best Interest Rule	The Assets - Insurance planning Fifth Third Sanctioned $6M Over Annuity Disclosure Failures DOL Rule Demise Coincides with Growing Popularity of Hybrid Annuities, says Nationwide Boss
The Assets - Estate planning Don't Be Afraid to Make Meetings Mandatory Raymond James Rolls Out Tool for Gathering Client Asset Data	The Assets - Tax planning Pioneers Reveal How a Desire for Personalization Can Be a Real Driver Loss of Roth 'Mulligans' Seen as Planning Crimp

The Practice - Technology How Advisors Can Use Artificial Intelligence Fidelity Partners with Amazon to Roll Out VR Financial Advisor	The Practice - Fees and compensation Lowering Fees Doesn’t Yield More Clients What Merrill Lynch Says About FA Pay Clawback Grumble SEC Settles with FA Over Alleged $71 Million Fraud Scheme
The Practice - Staffing and recruiting Pioneers Reveal How a Desire for Personalization Can Be a Real Driver What Merrill Lynch Says About FA Pay Clawback Grumble Ex-Barclays Wealth Head Wins Million-Dollar Payout Over Stifel Deal	The Practice - Regulatory/legal issues SEC Settles with FA Over Alleged $71 Million Fraud Scheme Does BrokerCheck Do More Harm Than Good? Bad Broker With 55 Disclosures Skips Out On Paying $4.3M in Damages

1	Bad Broker With 55 Disclosures Skips Out On Paying $4.3M in Damages
2	Ex-Merrill Lynch FA Suspended Over Kiting Scheme
3	What Merrill Lynch Says About FA Pay Clawback Grumble
4	SEC Chair Open to Review of BrokerCheck
5	SEC Chair: Government Should Not Drive Away the Broker-Dealer Model

1	What Merrill Lynch Says About FA Pay Clawback Grumble
2	Pope Francis Supports Fiduciary Standard for FAs
3	FAs Reveal Secrets to Winning and Advising Americans Abroad
4	Fidelity Partners with Amazon to Roll Out VR Financial Advisor
5	Morgan Stanley Had Filed a Suspicious-Activity Report on Trump’s Lawyer

1	SEC Chair: Government Should Not Drive Away the Broker-Dealer Model
2	FAs Reveal Secrets to Winning and Advising Americans Abroad
3	Facebook and LinkedIn Creators' MFO Co-Founder Leaves to Launch Competing Firm
4	Fidelity Partners with Amazon to Roll Out VR Financial Advisor
5	Bad Broker With 55 Disclosures Skips Out On Paying $4.3M in Damages