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September 4, 2018
As Merrill Lynch Reverses Ban, Investors Urged to "Steer Clear" of Commission-Based Accounts
Consumer advocate believes investors need to proactively look for fee-based advisors.
How Raymond James is Knocking Recruitment Out of the Park
Just how is it attracting so many advisors from rivals?
Getting the Good Leads can be Harder for Women FAs ... Here's Why
At least this employment discrimination lawyer thinks so.
Trump Directs Treasury and DOL to Review Retirement Savings Rules
An executive order directs the agencies to review rules on multi-employer 401(k) plans and tax-sheltered individual retirement savings plans.
JPMorgan Settles FAs’ Racial Bias Lawsuit for $24 Million
Advisors say they were denied opportunities and adequate support because they are African-American.
Wells Fargo Loses Another FA Team to Ameriprise
Married duo managed $140 million.
The Top Three Benefits of Independence
An increasing number of advisors are going independent. This Paid Post from BNY Mellon Pershing discusses the appeal.
Stratos Wealth Network Brings on $1B In Client Assets
The firm has also named Lou Camacho president of Stratos Wealth Alliance.
Advice Firm Charged With Fraud and Associating with Barred Advisor
Walter Grenda allegedly continued associating with Grenda Group and his son Gregory Grenda, to whom he had sold his investment advice assets.
|The Client - Finding and winning new clients||The Client - Client retention|
|The Client - ERISA plans/institutional management||The Client - Behavioral finance|