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August 24, 2017

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Previous Issue

Morgan Stanley Slapped with $500K Fine

Wirehouse allegedly mishandled client trades in preferred securities.

DOL Foe Demands Injunction Against Arbitration Ban

Firm wants more than the DOL’s recent non-enforcement stance on the arb ban. DOL hints it may comply.

The Fatal Flaw in Many Client Communication Strategies

Provide more relevant messages, more personal touches — and quit it with the golf talk.

FAs Want More Info on CFP Board Fiduciary Proposal

Fiduciary proponents want more clarity, opponents remain mum.

Opinion

Clients Need a True Picture of Risk in a Bull Market

FAs need to manage investor expectations and earn trust in a bull market.

ThinkTank: Investing

Benefits of Investing in REITs
Manning-Napier

Intense Bargain or Value Trap?
Smead Capital Management

Secondary Funds: Removing Obstacles to Private Equity Adoption
Artivest

Topics

All Topics

The Client - Finding and winning new clients The Critical Issue Morgan Stanley and RBC Apparently Flubbed for Years Merrill Lynch Lawsuit Shows Fired Brokers Can Use Protocol Rules Too, Lawyers Say Why Morgan Stanley’s Wealth Unit Posted Growth Last Quarter	The Client - Client retention The Critical Issue Morgan Stanley and RBC Apparently Flubbed for Years Morgan Stanley is Shedding More Advisors to This Major Indie What Merrill Lynch’s Revenue Figures Mean for its Brokers’ Comp Plan
The Client - ERISA plans/institutional management DOL Rule Saga Isn't Over... Agency Plans Roll Out of a Final Fiduciary Rule Next September As Merrill Lynch Reverses Ban, Investors Urged to "Steer Clear" of Commission-Based Accounts	The Client - Behavioral finance Do Young Clients Truly Want SRI? Some Advisors Just Don't Buy It 3 Effective Ways to Reframe Risk for Ultra-Conservative Clients

The Assets - Portfolio management The Critical Issue Morgan Stanley and RBC Apparently Flubbed for Years 3 Effective Ways to Reframe Risk for Ultra-Conservative Clients Do Young Clients Truly Want SRI? Some Advisors Just Don't Buy It	The Assets - Insurance planning Ken Fisher's Resolve Unwavering as Insurance Marketers Cajole Advisors to Annuities Allianz Life Sells Own B-D, RIA Business
The Assets - Estate planning Wells Fargo, Morgan Stanley and Other UHNW FAs Warn of Dangers in Neglecting Estate Plans	The Assets - Tax planning Social Security Cost-of-Living Adjustments May Not Be Enough, Warns Lobby Here's How Retirement Savings Change Under Congress' Tax Cuts 2.0

The Practice - Technology Sell your RIA Now? Fidelity Execs Insist There's No Better Time The Critical Issue Morgan Stanley and RBC Apparently Flubbed for Years	The Practice - Fees and compensation Morgan Stanley's Lucrative New Retirement Packages Might Come with a Big Catch Jury Convicts Financial Advisor on Massive $20 Million Ponzi Scheme Charges SEC Charges Investment Advisor with Fraud
The Practice - Staffing and recruiting Two Ex-Wells Fargo Brokers Barred in Separate Incidents Morgan Stanley is Shedding More Advisors to This Major Indie Ex-Morgan Stanley FA Barred After 50-Plus Years in Industry	The Practice - Regulatory/legal issues Two Ex-Wells Fargo Brokers Barred in Separate Incidents Ex-Morgan Stanley FA Barred After 50-Plus Years in Industry Merrill Lynch Lawsuit Shows Fired Brokers Can Use Protocol Rules Too, Lawyers Say

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