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December 7, 2017

Finra Reveals Big Report on What Firms Get Wrong on Exams
The key topics include cybersecurity, anti-money laundering, product suitability and best execution.
Brinker Capital Rolls Out RIA Support Platform
Advisors can now outsource back- and middle-office tasks to Brinker.
Another FA Charged in Dawn Bennett Fraud Case
Bradley Mascho allegedly aided and abetted radio star broker in convertible and promissory note fraud.
Wentworth Buys Indie Broker-Dealer
Meanwhile, RBC lures $366 million UBS team.
Avocado Toast or Not, Millennials Are About to Get Rich
The data says millennials spend rather than save. But as the wealth transfer from boomers to millennials begins, FAs must better understand this new generation.