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April 16, 2018

Top Advisors Divulge Keys to Winning Trillions in Millennial Business
Advisors want to win Gen Y clients but many FAs lack the required knowledge, tools and approaches.
Wells Fargo Loses 258 FAs Year-Over-Year
Company continues shedding advisors as wealth unit attracts regulators’ scrutiny.
Midterm Wins for Dems Could Lead to More State Fiduciary Rules
State fiduciary rules would stand as long as they don’t impact ERISA-governed plans, according to an attorney.
Ex-FA Pleads Guilty to $3.1M Fraud
Former advisor had owned or operated at least three separate advice and tax prep practices since 2002.
Veteran Merrill Lynch FAs Join Kestra
True Alpha Wealth Management’s three-person team has more than 75 years of combined industry experience.
Investor Advocates Are Cautious about SEC Fiduciary Rule
Outline for Wednesday’s discussion has components of a strong rule, according to consumer lobby.