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Today's Headlines

Merrill Edge Lawsuit Raises Cross-Selling Issues
Investor was apparently promised lower home loan rates if he invested with Merrill.
Investors Unearth Worrying Concerns in Opportunity Zone Tax Treatment
Overflowing crowd at DC meeting meant interested parties were turned away at the door, IRS says.
Merrill Lynch’s Buck Gets 40-Month Prison Sentence
Prosecutors sought 78 months for advisor who allegedly cost his clients $2 million.
Carson Wealth Management Faces Claims of $500K in Overcharges
A client alleges Ron Carson’s RIA improperly told a product sponsor it had terminated the relationship with the client, which led to higher fees.
Wells Fargo Loses More Reps to First Republic Bank
Meanwhile, a top Wells Fargo Advisors producer in Philadelphia has gone indie.
Woodbridge Ponzi Scheme Broker Barred After Allegedly Selling Millions
The broker allegedly made over $100,000 in commissions from sales of promissory notes in the purported real estate investment fund.
Finra Warns of New Phishing Scam
Brokerages report receiving suspicious emails purporting to provide information about money-laundering by their clients.

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