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May 17, 2018

Board ‘Dysfunction’ Amid ‘Vile’ Dispute Was Behind Demise of New York Chapter, Says FPA
But one critic says the association should have acted with more transparency.
Vanguard’s Hybrid Robo Makes Advisors Unhappy ... But They Use It Anyway
Lack of tax considerations and the robo’s ultra-low fees are advisors’ main criticisms.
UBS Loses Veteran Financial Advisor to Ameriprise
Ruth Onkst joins Ameriprise’s franchise channel in Gainesville, Fla.
Most Americans Don’t Have Written Financial Plans
And many don’t think they make enough money to merit a plan.
Finra Reveals Some Details on How It Determines Its Fines
A letter of settlement with Fifth Third Securities explains partially how the regulator arrived at the $4 million fine.
Departing NY AG Facing Abuse Allegations Had Made Name as Investor Champion
The former AG accused of physical abuse of four women was a defender of the DOL’s fiduciary rule.