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May 4, 2018

Merrill Lynch Parent Sued for Alleged Refusal to Hire DACA Recipient
Company says it has no prohibitions on hiring recipients of the Obama-era program the Trump administration wants to end.
Investors Hate the SEC’s Best Interest Rule Proposal
Many think the SEC is wrong to think investors can differentiate between “best interest” and “fiduciary.”
Bad Brokers Beware: The Public Can Find You Now
Platform lets investors search for registered and unregistered individuals who’ve been part of SEC enforcement actions and more.
Merrill Lynch Offers ESG Options Through Merrill Edge
Meanwhile, robo pioneers Betterment and Wealthfront are offering more financial planning services.
Your Arbitration History Could Lead to Stiffer Sanctions
In addition to disciplinary history, adjudicators will be told to consider previous arbitration awards in doling out sanctions.
Here’s How You Manage Clients with Irrational Fears
It's not always an advisor's job to convince cautious clients to be more aggressive.