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April 20, 2018

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Previous Issue

Fired UBS Employee Looks to Mount Class Action for Age Discrimination

Former managing director alleges he faced an unfair take it or leave it choice.

Women Won Just 18% of Sexual Harassment Claims in Finra Arbitration Since 1988

Men are almost twice as likely to win sexual harassment claims.

Ron Carson Names 32-Year-Old His Successor

Dubbed “Baby Einstein” at Carson Group, successor has been with the firm five years.

Raymond James Nabs Four Wells Fargo FAs

The teams collectively oversaw more than $780 million at the wirehouse.

Wealthy Clients Are Pessimistic About Longevity and Healthcare Costs

Half of high net worth individuals also believe working longer is good for health, and most wealthy work on weekends.

Implement Boundaries and Structure with Volatile Clients

Make written agreements mandatory for impulsive clients.

ThinkTank: Latest Published Content

Tail Risk Report: Not an Optimistic Picture, but Bright Spots are Identifiable
Janus Henderson Investors

Aadhaar’s final stage signals a set start for India’s future
Aberdeen Standard Investments

#DeleteFacebook: Data privacy concerns flood the social network
Russell Investments

Ultra-Short Bonds: A Source of Potential Income and Stability
Lord Abbett

Interest rate outlook: Weaker-than-expected data lower US inflation expectations
Invesco Ltd.

Muni Not‑for‑Profit Healthcare 2018: Keep an Eye on Quality
Pacific Investment Management Company LLC

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The Client - Finding and winning new clients Ron Carson Names 32-Year-Old His Successor Raymond James Nabs Four Wells Fargo FAs	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 Investor Advocates Are Cautious about SEC Fiduciary Rule	The Client - Behavioral finance Implement Boundaries and Structure with Volatile Clients Wealthy Clients Are Pessimistic About Longevity and Healthcare Costs

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 Sacked Morgan Stanley Advisor Ordered to Pay Back $372,000 Top Advisors Divulge Keys to Winning Trillions in Millennial Business Merrill Lynch Loses 124 FAs in 1Q But Confident About Future Growth
The Practice - Staffing and recruiting Merrill Lynch Loses 124 FAs in 1Q But Confident About Future Growth Raymond James Nabs Four Wells Fargo FAs Ron Carson Names 32-Year-Old His Successor	The Practice - Regulatory/legal issues This Upcoming SCOTUS Decision Could Hogtie the SEC Morgan Stanley Firing Shines Harsh Light on "Frat-Boy" Mentality Here Are the Big Fee Violations the SEC Has Found Advisors Make

1	Morgan Stanley Firing Shines Harsh Light on "Frat-Boy" Mentality
2	Merrill Lynch, RBC FAs Reveal Their Game-Changing Client Moves
3	Sacked Morgan Stanley Advisor Ordered to Pay Back $372,000
4	Merrill Lynch Loses 124 FAs in 1Q But Confident About Future Growth
5	Wells Fargo Loses 258 FAs Year-Over-Year

1	Merrill Lynch, RBC FAs Reveal Their Game-Changing Client Moves
2	Top Advisors Divulge Keys to Winning Trillions in Millennial Business
3	Wells Fargo Loses 258 FAs Year-Over-Year
4	Merrill Lynch Loses 124 FAs in 1Q But Confident About Future Growth
5	Tamp Acquisition Arms Orion to Take on Envestnet

1	Top Advisors Divulge Keys to Winning Trillions in Millennial Business
2	Wells Fargo Loses 258 FAs Year-Over-Year
3	Morgan Stanley Firing Shines Harsh Light on "Frat-Boy" Mentality
4	Advisors Neglect Retirement Income Planning, Study Reveals
5	Wells Fargo Loses Reps to Raymond James, BNY Mellon

S	M	T	W	T	F	S






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April 20, 2018

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