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March 14, 2019

Charles Schwab and UBS Caught in Dark Pool Class Action
The suit alleges Schwab failed to perform best execution.
Don't Let Clients Fall into the Dividend Growth Trap
Investors believe dividend growth is predictable, when in reality, it is not.
Wells Fargo Wealth Management Unit Follows the Rules, CEO Tells House Committee
Chief skirts question of whether he himself has a fiduciary duty to the firm’s clients.
Majority of FAs Dissatisfied with Their Firms’ Front and Back Office
That’s despite 60% of advisors having some involvement in how their firms arrive at front and back office decisions.
State-Level Fiduciary Rules Will Face Barrage of Litigation
Nonetheless, more states may follow the lead of Nevada, Maryland, New Jersey and New York.
Here's the Next Wealth Management Disruption
The next wave of innovation will lead to “wealth creation services.”

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