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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.
Is the Cycle Over? What You Should Know
Is the economy reaching the end of it's upward cycle? Three portfolio managers from Loomis Sayles discuss their outlook for 2019.
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.”
|The Client - Finding and winning new clients||The Client - Client retention|
|The Client - ERISA plans/institutional management||The Client - Behavioral finance|