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June 19, 2019

When Morgan Stanley and Merrill Managers Talk About Tech Spend, What’s the Subtext?
Some advisors could be forgiven for hearing mixed messages.
Merrill Lynch FA Barred After Allegations of Taking a Loan From a Client
The wirehouse discharged Patrick Neal Foley last year over allegations that he had taken loans from a client.
Special Report: ETF Strategy Masterclass: Asset Class, Sector and Regional Diversification
The ETF market allows for precision targeting for investors to gain exposure to markets around the world. Our Special Report coverage takes a deep dive into how financial advisors can use these capabilities in their clients’ portfolios.
Video
Why 18-Year-Olds Can Now Sit for Industry Qualification Exams
Finra's qualifications boss explains the organization's changes to qualifications.  Video [ 6:26 ]   Transcript  
Former Cetera Rep Barred Over Undisclosed Payments
The firm had discharged George Merhoff Jr. in April.
FAs and Investors Increasingly Pessimistic About the Future
More than half of RIAs and fee-based advisors are concerned about a U.S. economic recession or bear market over the next 12 months.
Sponsored Webcast
Danger: Compliance Risks for Advisors and How to Turn them into Opportunities
Satisfying compliance requirements adds steps and time to simple tasks, but financial advisors know they can’t risk skipping any of them. This webcast, sponsored by Seismic, discusses how smart processes can help advisors turn these requirements into opportunities to stand out among their peers.
Wedbush Ordered to Pay $8 Million Over ADRs
The regulator’s 11 actions related to ADR pre-release handling have so far resulted in more than $420 million in settlements so far.
Why Many RIAs Continue Serving Unprofitable Clients
What’s more, three out of five RIAs either don’t have or don’t enforce account minimums.

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