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October 23, 2018

Advisory Fees Could Be Under Fire From a Surprising Source
State regulators worry fee-based clients aren’t getting their money’s worth.
DOL Answers Trump Retirement Order with Another Set of Rules
The proposal aims to give employers a simple and less burdensome way to offer retirement benefits to their employees.
Big Firms Use Finra Arb Docs to Smear Breakaway Brokers, Lawyers Claim
Very few brokers win monetary damages from defamation claims in Finra arbitration, which some lawyers say makes smearing U-5 forms another “weapon” for the brokerages.
Goldman Sachs’ Google Deal Could Signal a Robo-Advisor for the Firm
It certainly makes it easier for the company to delve deeper into the mass affluent wealth segment.
Wealthfront Mints a Partnership to Turbo-Charge Client Access
Users of Intuit’s TurboTax and Mint software will be able to pre-populate account information from their tax data.
How Morgan Stanley FAs Use AI to Help Manage Clients
Artificial intelligence at the wirehouse is meant to augment, not replace, human advisors.
After the Midterms, Watch Out for These Financial Advisors in Congress
One is running for a House seat in Pennsylvania and another is aiming for a Senate win in Maryland.