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February 13, 2018

Merrill Lynch's Client Transition Program is Under a Harsh Spotlight in Court
Age discrimination suit sheds unfavorable light on the wirehouse's program.
Merrill Lynch Expands Portfolio Analysis Capabilities in Edge
New offering allows comparison to benchmarks, analyst insight and ESG impact.
Advisors Urged to Self-Report Fee Violations to SEC
Watchdog won't penalize FAs who declare mutual fund fee violations before June 12 and return ill-gotten gains.
LPL Fined Over Brokered CDs Sales
Firm allegedly failed to adequately train reps and disclose risks to clients.
Fidelity Reveals Big Jumps in U.S. Retirement Savings
Average retirement accounts across IRAs and 401(k)s surpass $100,000.
ThinkTank: Latest Published Content