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July 5, 2018

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Previous Issue

Do RIAs Come Out On Top in Fiduciary Rule/Best Interest Fight?

As the industry dukes it out, here’s what investors see …

Vanguard Eliminates Fees on Online Trading of Rivals’ ETFs

In August, Vanguard will let clients trade online nearly all of the 1,800 non-Vanguard ETFs for free.

Schwab to Pay $2.8M Over Suspicious Trades by Indie Advisors

Company failed to report suspicious activity by 37 independent advisors Schwab had terminated in 2012 and 2013.

Video

Why Your Succession Planning is Important to HNW Clients

They want to know that your practice will always be there.

Video [ 3:43 ]

Transcript

Fidelity Will Charge Consultants for Access to Advisors

New platform will charge consultants 18% of each contract awarded.

Morgan Stanley’s Top Lawyer is Quietly Building a Third U.S. Political Party

Eric Grossman’s Serve America Movement has attracted hundreds of thousands from Wall Street and former Big Tobacco executives.

Merrill Lynch Introduces Mobile Tech in Push for New Business

Wirehouse launches mobile technology to make life easier for clients and advisors alike.

ThinkTank: Latest Published Content

More than two billion reasons to consider investing in the emerging markets consumer
Columbia Threadneedle Investments

Discussing the Challenge of Health Care Costs in Retirement
Nationwide

Month in Cash: No more normal?
Federated Investors

Navigating the Emerging New Market Dynamic
Tematica Research

Canada’s ‘Rudest Awakening’ May Come From Debt‑Saddled Consumers
PIMCO

Topics

All Topics

The Client - Finding and winning new clients Morgan Stanley and Wells Fargo Lose Reps to These Rivals Wells Fargo, Merrill Lynch Lose Yet More FAs to This Rival Assets Managed by Robos Expected to Balloon to $1.26 Trillion by 2023	The Client - Client retention Merrill Lynch Loses Billion-Dollar Team to This Rival Market Questions Morgan Stanley's Pre-IPO Uber Stock Placements for FAs Wells Fargo, Merrill Lynch Lose Yet More FAs to This Rival
The Client - ERISA plans/institutional management Why Big Firms Have Paid Billions in ERISA Class Actions Maryland, Nevada Push for State-Level Fiduciary Rules	The Client - Behavioral finance UBS Goes All-In on This Investment Style How to Position Client Portfolios for Volatility Trump Tweet May Change UBS Client Views on Trade Wars

The Assets - Portfolio management Why Finra Has Zeroed in on College Savings Plans Why Social Security Concerns Could Drive Clients Away from their Advisors	The Assets - Insurance planning TIAA Changes Advisors’ Sales Materials Following Allegations of Improper Practices Morgan Stanley Was “Asleep at the Wheel” When Insurers Canceled its Client's Policy, Lawsuit Claims
The Assets - Estate planning Senators Urge Finra to Bar FAs from Receiving Client Inheritance Merrill Lynch Let a Client Change a Beneficiary from the Grave, Plaintiffs Alleged	The Assets - Tax planning UBS and Wells Fargo Wealth Unit Suspect Investors Won’t Mind New Complications to Popular Tax-Break Investment Vehicle House Passes Comprehensive Retirement Savings Bill

The Practice - Technology Assets Managed by Robos Expected to Balloon to $1.26 Trillion by 2023 Vanguard Repositions Robo in Advisor Market	The Practice - Fees and compensation Merrill Lynch Loses Billion-Dollar Team to This Rival Wells Fargo Slams Sacked Employee's Lawsuit Claims as "Tenuous at Best" Why SEC’s New Reg BI Could Bring More Legal Challenges from Clients
The Practice - Staffing and recruiting Merrill Lynch Loses Billion-Dollar Team to This Rival Wells Fargo Slams Sacked Employee's Lawsuit Claims as "Tenuous at Best" Why SEC’s New Reg BI Could Bring More Legal Challenges from Clients	The Practice - Regulatory/legal issues Wells Fargo Slams Sacked Employee's Lawsuit Claims as "Tenuous at Best" Why SEC’s New Reg BI Could Bring More Legal Challenges from Clients Broker-Dealer Cannabis Activity Comes Under Scrutiny

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