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May 19, 2017

Merrill Fined $650,000 Over Customer Trades
Firm allegedly failed to deliver best price and record transactions.
Ex-Morgan Stanley FA Must Pay Back Promissory Note
Broker who had been with the firm five months ordered to pay back $500,000.
Do Trump's Troubles Take Any Heat Off 401(k)s?
Tax-savvy advisors hope a special counsel will help put White House's agenda into clearer focus.
Finra Report Cards Meant to Cut Broker Fraud
More grades to cover more criteria by the end of the year.
Turning Spendthrift Clients into Dedicated Savers
Acting on first impressions of saving habits can help you steer them to success.
ThinkTank: Investing