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Will Wirehouses Thwart FA Flight to Independence by Less Grid Tinkering?

Many reps are sick of constant pay changes, recruiters say.

Morgan Stanley Faces Conflicting Claims from Buzz Aldrin and his Son over Trust

The Apollo 11 astronaut’s son threatened action if the wirehouse transfers money out of a trust Buzz Aldrin wants terminated.

Ohio National Extends Buyout Offer over Controversial Variable Annuity Trailing Commissions

Broker-dealers and registered representatives now have until March 15 to decide if they want to surrender or exchange their contracts for more money.

Franklin Templeton Agrees to $14 Million Settlement in 401(k) Self-Dealing Lawsuit

The settlement is among the largest in recent months.

Focus Financial Adds Two RIAs with Combined $800 Million

Focus will roll the two RIAs into existing partner firms.

This Is the Year Traditional Wealth Managers and Fintech Cozy Up

A marketing strategist predicts that incumbent players will integrate tech to profit from the coming wealth transfer.

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The Client - Finding and winning new clients Wells Fargo Advisors Has Tough Time Signing New Clients, Exec Claims Will Wirehouses Thwart FA Flight to Independence by Less Grid Tinkering? This Is the Year Traditional Wealth Managers and Fintech Cozy Up	The Client - Client retention Will Wells Fargo's RIA Offering Cannibalize its Advisor Ranks? Why Advisors Left Wirehouses for B-Ds and Independents Will Wirehouses Thwart FA Flight to Independence by Less Grid Tinkering?
The Client - ERISA plans/institutional management Maryland, Nevada Push for State-Level Fiduciary Rules Oregon Ready to Help Other States Set Up Auto-IRA Programs	The Client - Behavioral finance Morgan Stanley Faces Conflicting Claims from Buzz Aldrin and his Son over Trust Here's What's Most Important for Millennials Seeking Financial Advice

The Assets - Portfolio management This Is the Year Traditional Wealth Managers and Fintech Cozy Up Here's What's Most Important for Millennials Seeking Financial Advice	The Assets - Insurance planning Ohio National Extends Buyout Offer over Controversial Variable Annuity Trailing Commissions Insurance and Annuities to be Subjected to Best Interest Standard at State Level
The Assets - Estate planning Follow These Signs to Avoid Picking the Wrong Trust Provider Why FAs Piled into ETFs Last Year and Will Further the Trend in 2019	The Assets - Tax planning Investors Unearth Worrying Concerns in Opportunity Zone Tax Treatment Merrill Lynch Asks Court to Toss Class-Action Alleging "Misleading and Deceptive" Marketing

The Practice - Technology Wells Fargo Advisors Has Tough Time Signing New Clients, Exec Claims This Is the Year Traditional Wealth Managers and Fintech Cozy Up	The Practice - Fees and compensation Wells Fargo Advisors Has Tough Time Signing New Clients, Exec Claims Ex-Morgan Stanley FA Fired and Barred Over Alleged Gift Disclosure Failure These are the Critical Issues Keeping Top Broker-Dealers Up at Night
The Practice - Staffing and recruiting Ex-Morgan Stanley FA Fired and Barred Over Alleged Gift Disclosure Failure These are the Critical Issues Keeping Top Broker-Dealers Up at Night Ex-UBS Broker Gets 9 Years in Prison Over $4 Million Fraud	The Practice - Regulatory/legal issues Ex-Morgan Stanley FA Fired and Barred Over Alleged Gift Disclosure Failure These are the Critical Issues Keeping Top Broker-Dealers Up at Night Ex-UBS Broker Gets 9 Years in Prison Over $4 Million Fraud

1	Merrill Edge Lawsuit Raises Cross-Selling Issues
2	Ex-UBS Broker Gets 9 Years in Prison Over $4 Million Fraud
3	Will Wells Fargo's RIA Offering Cannibalize its Advisor Ranks?
4	Morgan Stanley Lawsuit Might Force More Customer Disputes Into Arbitration
5	Ex-Morgan Stanley FA Fired and Barred Over Alleged Gift Disclosure Failure

1	Investors Unearth Worrying Concerns in Opportunity Zone Tax Treatment
2	Maryland Fiduciary Bill Succeeds Where SEC Reg BI Fails, Says Advocate
3	Merrill Edge Lawsuit Raises Cross-Selling Issues
4	Wells Fargo Advisors Has Tough Time Signing New Clients, Exec Claims
5	Will Wells Fargo's RIA Offering Cannibalize its Advisor Ranks?

S	M	T	W	T	F	S






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