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September 21, 2018

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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