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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 Half a Billion Dollar Merrill Lynch Team Takes Flight Wirehouse Leavers Say Smaller Firms Make For Better Client Service Merrill Lynch Has Won a Lot of New Clients Lately	The Client - Client retention Wirehouse Leavers Say Smaller Firms Make For Better Client Service Never Take a Client’s Estate Plan for Granted
The Client - ERISA plans/institutional management New York State Adopts Best Interest Standard for Insurance Fiduciary Legislature at the State Level Slows But Continues	The Client - Behavioral finance FAs Who Want to Survive Must Embrace the Emotional Industry Groups Slam “Best Interest Standard” As Too Vague

The Assets - Portfolio management Wirehouse Leavers Say Smaller Firms Make For Better Client Service Wells Fargo’s Private Bank Automated Investment Management, Report Claims	The Assets - Insurance planning New York State Adopts Best Interest Standard for Insurance Soothing Clients’ Terror About Health Costs in Retirement
The Assets - Estate planning Never Take a Client’s Estate Plan for Granted FAs Aren’t Talking to Clients About What Clients Want to Discuss	The Assets - Tax planning All Special Designations Aren't Created Equal: How to Tell the Significant from the Suspect FAs Aren’t Talking to Clients About What Clients Want to Discuss

The Practice - Technology FAs Who Want to Survive Must Embrace the Emotional Finra’s Cloud Tech Helps It Process 58 Billion Records Daily	The Practice - Fees and compensation Wirehouse Leavers Say Smaller Firms Make For Better Client Service Ex-Morgan Stanley Advisor Barred by SEC Half a Billion Dollar Merrill Lynch Team Takes Flight
The Practice - Staffing and recruiting Wirehouse Leavers Say Smaller Firms Make For Better Client Service Morgan Stanley Complex Manager Leaves Firm After Harassment Claims Against FAs Wells Fargo Wealth and Investment Income Slips 37% in Q2	The Practice - Regulatory/legal issues Morgan Stanley Complex Manager Leaves Firm After Harassment Claims Against FAs Whistleblower in Conflict-of-Interest Case Gets $30M Award Finra Bars Former FA Accused of Churning

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