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February 11, 2019
Variable Annuities are Still Being Recommended — Despite Ohio National Fallout
Some FAs aren’t bothered by client questions on the reliability of variable selling agreements.
Finra Sues Ex-Broker Over Failing to Disclose Sexual Misconduct Felony
Advisor was convicted last month and sentenced to a decade in prison.
Advisor Moves: Morgan Stanley Loses FA to Ameriprise, and More ...
Also, Merrill Lynch and Cetera are involved in moves.
80% of FAs Say Sexual Harassment Is a Problem at Work
A third of advisors say they have been victims of sexual harassment, including unwanted contact or requests and assault.
Maryland Introduces Legislation for a State Fiduciary Rule
A bill in the state senate proposes to hold insurance agents as well as advisors and brokers to the fiduciary standard.
LPL Rolls Out Lobbying Initiative Aimed at Leveraging Individual FAs
The program is designed to nudge advisors to work with the company’s government relations department in pushing for the firm’s interests.
Morgan Stanley Makes Strategic Play with New Acquisition
Acquiring the software-as-a-service provider will bring 3,000 stock plan clients with one million participants.
|The Client - Finding and winning new clients||The Client - Client retention|
|The Client - ERISA plans/institutional management||The Client - Behavioral finance|