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Today's Headlines

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Simpler Series 7s (and Fresh Industry Talent?) Are Almost Upon Us

They come as a quest for youth in the industry, says one former Finra EVP.

Ex-Wells Fargo FA Faces Embezzlement Charges

Advisor is facing a possible 15-year prison sentence.

Northwestern Mutual FAs Managing $600M Go Indie

The team has formed Canopy Wealth Management.

Citigroup and Its Broker-Dealer Subsidiary Settle with SEC for $10.5 Million

The companies allegedly failed to maintain accurate books and supervise traders.

Just About Anyone Can Say They’re a Financial Advisor

Financial planning trade group chiefs say investors have to fend for themselves.

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The Client - Finding and winning new clients Northwestern Mutual FAs Managing $600M Go Indie Wells Fargo Loses More Reps to These Three Rivals UBS and Morgan Stanley Shed Reps to Rivals	The Client - Client retention Northwestern Mutual FAs Managing $600M Go Indie UBS and Morgan Stanley Shed Reps to Rivals Fill the Voids in Your Clients' Financial Lives
The Client - ERISA plans/institutional management Wells Fargo Beats Class Action Alleging Self-Dealing and Favoring its Own Funds	The Client - Behavioral finance Fill the Voids in Your Clients' Financial Lives America’s Youths are Unrealistically Optimistic About Finances

The Assets - Portfolio management Fill the Voids in Your Clients' Financial Lives Advise for the Long Term but Don't Miss Short-Term Opportunities	The Assets - Insurance planning IRS Likely to Favor Insurance Agents over Wealth Planners and Retirement Advisors
The Assets - Estate planning Ex-Wells Fargo FA Faces Embezzlement Charges Merrill Lynch Lawsuit Brings Cautionary Tale to FAs Handling Client Estate Documents	The Assets - Tax planning How Wealth Managers Can Use Pensions to Reduce Taxes How Regional Banks Do Wealth Management

The Practice - Technology FAs Increasingly Turn to Fintech for Financial Planning How Many Millions AUM Do RIAs Need to Remain Competitive?	The Practice - Fees and compensation Citigroup and Its Broker-Dealer Subsidiary Settle with SEC for $10.5 Million Ex-Wells Fargo FA Faces Embezzlement Charges Ex-Morgan Stanley FA Scores $140K Win Against Wirehouse
The Practice - Staffing and recruiting Simpler Series 7s (and Fresh Industry Talent?) Are Almost Upon Us Northwestern Mutual FAs Managing $600M Go Indie Citigroup and Its Broker-Dealer Subsidiary Settle with SEC for $10.5 Million	The Practice - Regulatory/legal issues Simpler Series 7s (and Fresh Industry Talent?) Are Almost Upon Us Citigroup and Its Broker-Dealer Subsidiary Settle with SEC for $10.5 Million Ex-Wells Fargo FA Faces Embezzlement Charges

1	Raymond James' Big Secret to Luring FAs from Rivals
2	"Defamed" and "Disgusted" Ex-Merrill Lynch FAs Fight Back in Court and Claim Victory
3	Ex-Merrill Lynch FA Faces More Allegations of Theft from Clients
4	Wells Fargo Loses More Reps to These Three Rivals
5	Broker and His Firm Charged on Improper UIT Trades

1	Why Merrill Lynch’s Bitcoin Ban Is Likely to Continue
2	Why Many Women Don’t Know They Want to be Financial Advisors
3	JPMorgan to Close Foreign Retail Clients’ Investment Accounts
4	Raymond James' Big Secret to Luring FAs from Rivals
5	Don’t Judge Me! Brokers With Disclosures Aren’t All Bad, Says Big Employer

1	Why Many Women Don’t Know They Want to be Financial Advisors
2	How Wealth Managers Can Use Pensions to Reduce Taxes
3	Raymond James' Big Secret to Luring FAs from Rivals
4	Why Merrill Lynch’s Bitcoin Ban Is Likely to Continue
5	As Wirehouse Branding Advantage Weakens, RIAs Become More Attractive

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