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November 20, 2017

Merrill Lynch Fights Retired Brokers’ Arb Claims
Wirehouse argues Finra arbitration claims would be time-barred in courts.
Finra CEO Says He Wants Better Coordination With SEC
Robert Cook says it will benefit the industry to have fewer gaps and less duplication in regulatory oversight.
Questions Remain for FAs Pondering New Tax Bills
Amendment to tax 401(k) catch-up contributions dropped from Senate bill.
UBS Raises Fees for Wealth Management Clients
Customers can avoid fees by taking on mortgages, depositing more into accounts or using an account aggregator.
RBC Nabs Wells Fargo Advisors Duo
The pair managed $200 million at Wells Fargo.

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