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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 Can Focusing on Fewer Client Segments Pay Off? (An FT 300 Snapshot) Ex-Morgan Stanley FAs Fight Firm’s TRO Request Advisor Moves: Raymond James Nabs $125M FA from Key Rival, and More ...	The Client - Client retention Can Focusing on Fewer Client Segments Pay Off? (An FT 300 Snapshot) Ex-Morgan Stanley FAs Fight Firm’s TRO Request Advisor Moves: Raymond James Nabs $125M FA from Key Rival, and More ...
The Client - ERISA plans/institutional management As Merrill Lynch Reverses Ban, Investors Urged to "Steer Clear" of Commission-Based Accounts	The Client - Behavioral finance With Newly Married Couples, Give it Time SEC Form for Customer Relationships Confounds Users

The Assets - Portfolio management U.S. Investors Embrace Alts, Lag Behind on ESG Investing Brokers Get an Unfair Bad Rap and RIAs Get a Free Pass, Says General Counsel Why Rep-as-Advisor Asset Revelations Could Hint at a Big Churning Problem	The Assets - Insurance planning Why Merrill Lynch Still Excludes Commission-Based Annuities from IRA Accounts
The Assets - Estate planning Wells Fargo, Morgan Stanley and Other UHNW FAs Warn of Dangers in Neglecting Estate Plans	The Assets - Tax planning What does Trump's RMD Review Mean for FAs and Their Clients? Trump Directs Treasury and DOL to Review Retirement Savings Rules

The Practice - Technology RightCapital and Betterment Team Up on Initiative for RIAs Move Your Practice to Hawaii ... Or Africa! And Still Keep Your Clients Close Cetera Loses $300M Advice Practice to Key Rival	The Practice - Fees and compensation Can Focusing on Fewer Client Segments Pay Off? (An FT 300 Snapshot) More Advisors Charged With Cherry-Picking RightCapital and Betterment Team Up on Initiative for RIAs
The Practice - Staffing and recruiting LPL Accused of Race and Sex-Based Discrimination in Lawsuit Advisor Moves: Raymond James Nabs $125M FA from Key Rival, and More ... More Advisors Charged With Cherry-Picking	The Practice - Regulatory/legal issues LPL Accused of Race and Sex-Based Discrimination in Lawsuit More Advisors Charged With Cherry-Picking RightCapital and Betterment Team Up on Initiative for RIAs