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June 14, 2019

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Why Ex-Legend Advisors Are Suing Cetera

They believe the companies unfairly stopped paying them overrides on their books of business.

Fired Merrill Lynch Rep Suspended Over Alleged Cryptocurrency Mining

The wirehouse allegedly discharged Kyung Soo Kim over failure to disclose the outside business activity.

Merrill Lynch Loses Two FA Teams to This Rival

The teams collectively managed over $340 million.

Morgan Stanley and UBS Both Lose Reps to This Rival

Steward Partners has added two advisors collectively managing close to $200 million at the two wirehouses.

Cetera Data Breach Could Have Exposed 2,000 Clients’ Info

In March, an unauthorized person gained access to two Cetera employees’ email accounts.

RIA AUM Growth Slowed Substantially in 2018

Nonetheless, revenue growth remained mostly on pace.

Topics

All Topics

The Client - Finding and winning new clients Merrill Lynch Counting on a Boost in Household Clients This Year RIAs Urged to Milk Their Fiduciary Status to Differentiate From Brokers Merrill Lynch Loses Two FA Teams to This Rival	The Client - Client retention RIA AUM Growth Slowed Substantially in 2018 RIAs Urged to Milk Their Fiduciary Status to Differentiate From Brokers
The Client - ERISA plans/institutional management Why Big Firms Have Paid Billions in ERISA Class Actions Maryland, Nevada Push for State-Level Fiduciary Rules	The Client - Behavioral finance Edward Jones, Charles Schwab, Morgan Stanley Among Most Trusted by Consumers Millennial LGBTQ2 Clients More Concerned About Finances

The Assets - Portfolio management Special Report: There’s an ETF for That: How to Pick a Winner Special Report: ETF Strategy Masterclass: Using ETFs for Tactical Calls Special Report: ETF Strategy Masterclass: Asset Class, Sector and Regional Diversification	The Assets - Insurance planning TIAA Changes Advisors’ Sales Materials Following Allegations of Improper Practices Morgan Stanley Was “Asleep at the Wheel” When Insurers Canceled its Client's Policy, Lawsuit Claims
The Assets - Estate planning Here’s How You Win Hundreds of Prospective Tech Millionaires From the Wall Street Firms Senators Urge Finra to Bar FAs from Receiving Client Inheritance	The Assets - Tax planning Potential Conflicts Could Turn Down Volume for New Tax Shelters’ Cheerleaders Here’s How You Win Hundreds of Prospective Tech Millionaires From the Wall Street Firms

The Practice - Technology Cetera Data Breach Could Have Exposed 2,000 Clients’ Info Danger: Compliance Risks for Advisors and How to Turn them into Opportunities	The Practice - Fees and compensation How Submitting False Expenses Gets You in Deeper Trouble Than You Think Reg BI is “Worse Than Doing Nothing,” Says This Consumer Advocate RIA AUM Growth Slowed Substantially in 2018
The Practice - Staffing and recruiting How Submitting False Expenses Gets You in Deeper Trouble Than You Think RIAs Urged to Milk Their Fiduciary Status to Differentiate From Brokers Morgan Stanley, UBS, Merrill Lynch, Wells Fargo Update Parental Leave Policies	The Practice - Regulatory/legal issues How Submitting False Expenses Gets You in Deeper Trouble Than You Think Reg BI is “Worse Than Doing Nothing,” Says This Consumer Advocate Morgan Stanley, UBS, Merrill Lynch, Wells Fargo Update Parental Leave Policies

1	How Submitting False Expenses Gets You in Deeper Trouble Than You Think
2	Former Morgan Stanley Broker Fined, Suspended Over UITs
3	Morgan Stanley, UBS, Merrill Lynch, Wells Fargo Update Parental Leave Policies
4	Morgan Stanley’s Flatlining FA Roster is “By Design,” Says Wealth Unit Head
5	Fired Merrill Lynch Rep Suspended Over Alleged Cryptocurrency Mining

1	RIAs Urged to Milk Their Fiduciary Status to Differentiate From Brokers
2	How Submitting False Expenses Gets You in Deeper Trouble Than You Think
3	Morgan Stanley’s Flatlining FA Roster is “By Design,” Says Wealth Unit Head
4	Morgan Stanley, UBS, Merrill Lynch, Wells Fargo Update Parental Leave Policies
5	Merrill Lynch Counting on a Boost in Household Clients This Year

1	Morgan Stanley’s Flatlining FA Roster is “By Design,” Says Wealth Unit Head
2	RIAs Urged to Milk Their Fiduciary Status to Differentiate From Brokers
3	Fidelity to Roll Out New Managed Accounts Platform
4	Edward Jones, Charles Schwab, Morgan Stanley Among Most Trusted by Consumers
5	The Big Problem with 401(k) Plan Clients That Could Lose You Business

S	M	T	W	T	F	S






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June 14, 2019

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