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November 14, 2017
Wells Fargo Advisors On the Hook for $3.5M Fine
Brokerage allegedly failed to file reports of suspicious activity.
Finra’s 2018 Budget Might Reveal Sweeping Changes
The Finra board is rethinking its 2018 budget, fees, fines and endowments, says CEO Robert Cook.
Merrill: Caregivers Need Specialist Financial Advice
Those caring for someone spend on average $7,000 annually, and most want financial advice.
Why the RIA Route Is Increasingly Popular — Schwab
Last year 199 new RIAs registered with the SEC.
Coutt’s Thinks Facebook Might Displace Traditional FAs
Millennials trust social media more than they trust wealth management.
|The Client - Finding and winning new clients||The Client - Client retention|
|The Client - ERISA plans/institutional management||The Client - Behavioral finance|