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May 3, 2018

Merrill Lynch Accused of Treating Female FAs Like "Second-Class Citizens"
Female advisors are allegedly discriminated against.
Ex-Merrill Chief: Women Are Infantilized When It Comes to Money in Wealth Management
Top management must act, but the first step is talking about the issue.
Fifth Circuit Rejects Attempts to Save Fiduciary Rule
Meanwhile, SEC boss touts commissions’s proposal for a best interest regulation.
Wells Fargo Loses FAs to Janney, Raymond James
Other recent moves see Wells FAs going to UBS and RBC.
Advisor Forged a Client's Signature ... Here's What Happened Next
He signed for a client to move $150,000 into an annuity, according to the regulator.
Ameriprise Nabs AXA FAs Managing $150M
The team includes a 22-year vet of AXA Advisors.

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