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September 21, 2018

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Merrill Lynch's Commission Ban Reversal: Here's How Advisors See it Playing Out

It all comes down to what the client wants, doesn't it?

Morgan Stanley Sues FAs Who Jumped Ship to This Rival

Wirehouse alleges the brokers possibly spread false information.

Why Rep-as-Advisor Asset Revelations Could Hint at a Big Churning Problem

Researchers insist recent gains in the amount of these assets raises concerns about possible reverse churning and unsuitable recommendations.

Ex-Registered Rep Charged with Running Million-Dollar Scam

Former broker has so far collected 47 disclosures on his BrokerCheck record.

Industry Admits Poor Record on Diversity and Inclusion

But most investment firms recognize the benefits of a more diverse and inclusive industry.

SEC Charges Fraudsters Who Allegedly Targeted Investors and Advisors in $345M Scheme

The regulator has obtained an asset freeze against the alleged fraudsters.

With Newly Married Couples, Give it Time

Deciding on how much to share, spend and save can involve a lot of trial and error.

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The Client - Finding and winning new clients Morgan Stanley Sues FAs Who Jumped Ship to This Rival Betterment Joins Schwab in Decrying Big Weaknesses in New Disclosure Form UBS's Big Change in Comp Plans is No Change At All?	The Client - Client retention Morgan Stanley Sues FAs Who Jumped Ship to This Rival Merrill Lynch's Commission Ban Reversal: Here's How Advisors See it Playing Out RIAs Thank UBS and Morgan Stanley for all the New Clients
The Client - ERISA plans/institutional management As Merrill Lynch Reverses Ban, Investors Urged to "Steer Clear" of Commission-Based Accounts	The Client - Behavioral finance With Newly Married Couples, Give it Time SEC Form for Customer Relationships Confounds Users

The Assets - Portfolio management Merrill Lynch's Commission Ban Reversal: Here's How Advisors See it Playing Out Brokers Get an Unfair Bad Rap and RIAs Get a Free Pass, Says General Counsel Why Rep-as-Advisor Asset Revelations Could Hint at a Big Churning Problem	The Assets - Insurance planning Why Merrill Lynch Still Excludes Commission-Based Annuities from IRA Accounts
The Assets - Estate planning Wells Fargo, Morgan Stanley and Other UHNW FAs Warn of Dangers in Neglecting Estate Plans	The Assets - Tax planning What does Trump's RMD Review Mean for FAs and Their Clients? Trump Directs Treasury and DOL to Review Retirement Savings Rules

The Practice - Technology Move Your Practice to Hawaii ... Or Africa! And Still Keep Your Clients Close Cetera Loses $300M Advice Practice to Key Rival	The Practice - Fees and compensation Why Rep-as-Advisor Asset Revelations Could Hint at a Big Churning Problem Betterment Joins Schwab in Decrying Big Weaknesses in New Disclosure Form Morgan Stanley Sues FAs Who Jumped Ship to This Rival
The Practice - Staffing and recruiting UBS's Big Change in Comp Plans is No Change At All? Ex-Merrill Lynch Broker Suspended Over Allegedly Posing as a Client RIAs Thank UBS and Morgan Stanley for all the New Clients	The Practice - Regulatory/legal issues Brokers Get an Unfair Bad Rap and RIAs Get a Free Pass, Says General Counsel Ex-Merrill Lynch Broker Suspended Over Allegedly Posing as a Client Broker-Dealer Makes Million-Dollar Settlement Over Allegedly Deficient Blue Sheet Data

1	Move Your Practice to Hawaii ... Or Africa! And Still Keep Your Clients Close
2	How Misplaced Trust in Advisors Contributed to Massive Fraud Against Pro Athletes
3	RIAs Thank UBS and Morgan Stanley for all the New Clients
4	Judge Denies UBS Investors’ Class Certification over Puerto Rico Funds
5	Merrill Lynch's Commission Ban Reversal: Here's How Advisors See it Playing Out

1	Move Your Practice to Hawaii ... Or Africa! And Still Keep Your Clients Close
2	RIAs Thank UBS and Morgan Stanley for all the New Clients
3	Broker-Dealer Gives 3,700 Advisors Access to Envestnet Arsenal
4	How Misplaced Trust in Advisors Contributed to Massive Fraud Against Pro Athletes
5	Wells Fargo, UBS and Morgan Stanley All Lose Advisors to this Growing Player

1	Move Your Practice to Hawaii ... Or Africa! And Still Keep Your Clients Close
2	Explainer: What Is Regulation Best Interest?
3	SEC Form for Customer Relationships Confounds Users
4	Wells Fargo CFO Slams Media Over Negative Coverage
5	Merrill Lynch's Commission Ban Reversal: Here's How Advisors See it Playing Out

Registration Required To View More Than 1 Article(s) in 30 Day(s).

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September 21, 2018

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