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October 13, 2017

Merger of UHNW RIA Elites Highlights Importance the Rich Place on Impact Investing
Russell family office throws in with Tiedemann to create a $12-billion high-wealth powerhouse.
Finra Warns Against Rogue Non-Lawyer Arb Reps
Regulator weighs responses to allegations, including more guidance or banning non-attorney reps.
DOL Rule Saves Wirehouses Big Bucks in Recruitment
Recruitment loans to brokers fell 13% at Morgan Stanley and 15% at UBS year over year.
Morgan Stanley Ordered to Return Annuity Investment
Wirehouse must pay back $200,000 but no damages.
What Do You Do When Clients Just Won’t Change?
FAs must sometimes dissuade clients from bad financial habits. But occasionally you have to accept they aren’t likely to change.

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