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February 12, 2019
BlackRock and Pershing Have Curiously Similar Strategies to Bolster Business with FAs
The two firms seem to increasingly want to be known as fintech providers.
Wells Fargo's Online Outages and New Fee Give Some Pause
Outages impacted online account access through the internet and app.
Ex-Merrill Lynch FA Barred Over Allegedly Faking Childcare Expenses
She was allowed to resign less than six months after becoming a registered representative.
UBS to Pay $319,000 Over Former Broker’s Alleged Unsuitable Recommendations
The unidentified broker allegedly steered 18 clients into securities linked to gold and precious metals.
Best Interest Rule “Likely” to Hit in Q3, Even Though Insiders Brand it "Weak"
Eleven former SEC senior economists say the proposal is based on “weak and incomplete” economic analysis.
Cetera FAs Grumble About Genstar Acquisition
Several advisors tell media Cetera is slow on delivering on its promises.
How FAs Can Overcome Their Clients’ Annuity Aversion
Many pre-retirees are sensitive to the perception of unfairness in an insurer ending up with excess funds.
|The Client - Finding and winning new clients||The Client - Client retention|
|The Client - ERISA plans/institutional management||The Client - Behavioral finance|