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February 13, 2018

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Previous Issue

Merrill Lynch's Client Transition Program is Under a Harsh Spotlight in Court

Age discrimination suit sheds unfavorable light on the wirehouse's program.

Merrill Lynch Expands Portfolio Analysis Capabilities in Edge

New offering allows comparison to benchmarks, analyst insight and ESG impact.

Advisors Urged to Self-Report Fee Violations to SEC

Watchdog won't penalize FAs who declare mutual fund fee violations before June 12 and return ill-gotten gains.

LPL Fined Over Brokered CDs Sales

Firm allegedly failed to adequately train reps and disclose risks to clients.

Fidelity Reveals Big Jumps in U.S. Retirement Savings

Average retirement accounts across IRAs and 401(k)s surpass $100,000.

ThinkTank: Latest Published Content

How Short Duration Weathered Rising Rates
Lord Abbett

New Risk Metrics for a New World
Swan Global Investments

Is There Too Much Dry Powder In Private Equity?
iCapital Network

Topics

All Topics

The Client - Finding and winning new clients UBS Loses $2.2 Billion Wealth Advisory Team to Fast-Growing High-End Rival How Referrals Helped One FA Firm Grow to $21.3 Billion in 16 Years AARP Joins Chorus of SEC Regulation Best Interest Critics, Urges Revisions	The Client - Client retention Why Are Clients Insisting on Working Beyond Retirement? LPL Holds on to 51 FAs and $2 Billion in Assets from Departing Firm UBS Loses $2.2 Billion Wealth Advisory Team to Fast-Growing High-End Rival
The Client - ERISA plans/institutional management Warning to FAs: IRA Rollovers Are in Regulators' Crosshairs DOL Proposes Auto-Portability for 401(k) Plans	The Client - Behavioral finance Talking to Clients About Risks from Government Policy and Politics Why Are Clients Insisting on Working Beyond Retirement? Wells Fargo and Raymond James Have Secret Weapons to Target Wealthy Clients’ Kids

The Assets - Portfolio management How Advisors Identify and Diversify Away from Hidden Contagion Risks Amid Trade and Political Worries, Barings Says Diversify Folio Financial Launches Robo for Advisors	The Assets - Insurance planning Congress Pits Insurance Firms Against Mutual Fund Interests Over 401(k) Law Big Broker-Dealer Network Files Annuity Arbitration Claims Against Ohio National
The Assets - Estate planning Estate Plans Don’t Grant Superpowers, But They Do Protect Client Assets FAs Are Making Critical Mistakes in IRAs, Expert Warns	The Assets - Tax planning New Trump Tax Shelter Needs More Detail, Experts Warn

The Practice - Technology Merrill Lynch’s Comp Plan Contains a Curious Digital Incentive Finra Reveals Broker-Dealer Suitability Fails Advisor Moves: Wells Fargo Loses $100M Team to Raymond James	The Practice - Fees and compensation UBS Promotes Insider to Head U.S. Wealth Management Unit AARP Joins Chorus of SEC Regulation Best Interest Critics, Urges Revisions LPL Holds on to 51 FAs and $2 Billion in Assets from Departing Firm
The Practice - Staffing and recruiting UBS Loses $2.2 Billion Wealth Advisory Team to Fast-Growing High-End Rival LPL Holds on to 51 FAs and $2 Billion in Assets from Departing Firm How Referrals Helped One FA Firm Grow to $21.3 Billion in 16 Years	The Practice - Regulatory/legal issues Blanket Ban on Brokers Using Advisor/Adviser Title Isn't Justified, Some RIAs Say AARP Joins Chorus of SEC Regulation Best Interest Critics, Urges Revisions Three B-Ds Must Pay Over $6 Million Due to Bad Blue Sheet Data

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