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November 5, 2018

Are We an Arbitration Nation? Then Morgan Stanley Should be Happy and Advisors Should Worry ...
Arbitration favors "repeat playing" businesses – like wirehouses and other employers, scholars find.
Merrill Lynch, UBS, Edward Jones and Raymond James All Lost Talent to This Rival Last Month
The company has added several advisors managing close to $660 million.
SEC Has Stepped Up Enforcement Against Investment Advisers and Brokers
But the amount returned to harmed investors has dropped significantly.
Tax Efficiency is a Big Factor in How This Top Advisor Allocates Client Assets
Final part of a six-part series probing the concerns of American investors.
Wells Fargo Ordered to Pay Punitive Damages for Unsuitable Recommendations
A Wells Fargo branch manager allegedly made unsuitable recommendations to an unemployed divorcee.

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