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January 16, 2019

Wells Fargo Reveals Why it Sees Upside in a Shrinking Advisor Roster
Advisor attrition has slowed from its peak in August.
Prosecutors Call for 78-Month Prison Sentence for Ex-Merrill Lynch FA
Thomas Buck had pleaded guilty to securities fraud and agreed to a $5 million penalty.
Merrill Lynch Loses Another FA to This Rival
The advisor had been with the wirehouse for less than four years before jumping ship.
Edward Jones Ordered to Pay $2 Million Discrimination Claim
A Finra arbitration panel has ruled the firm owes back pay and damages to one of its former brokers.
JPMorgan’s Wealth Management Revenue Drops 5% in 4Q, First Republic’s Up 15%
JPMorgan’s assets under management dropped 2% year over year.
Commonwealth Lures FA Practice from Cadaret, Grant
Michael Roberts Associates oversees more than $500 million.
Video
What Plan Sponsors Look For When Choosing an Advisor
Help with understanding fiduciary duties is a big plus for FAs.  Video [ 2:18 ]   Transcript  

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