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Today's Headlines

56 Broker-Dealers Settle for $89 Million in Restitution for Harmed Account Holders
The settlements are part of a mutual fund fee waiver initiative and a sweep of broker-dealers.
Here's Why Profits Rose At Merrill Lynch, Despite Flat Headcount at Wirehouse
The wirehouse says it's focusing on training new advisors and winning key demographic business.
Kestra Doubles Down on Buying Retiring Advisor Books with New Business
Targets are firms with >$1 million earnings looking to offer at least a 51% shareholding.
Merrill Lynch Team Bolts for Raymond James
The Henderson Hutter Group has joined Raymond James’ independent broker-dealer.
JPMorgan’s Asset and Wealth Management Unit Grows AUM 7% Year over Year
But the unit’s wealth management client advisor ranks shrank slightly from the previous quarter.
SEC's Opportunity Zone Warning is "Prudent Reminder," Ex-Enforcement Lawyer Says
The watchdog apparently doesn’t want people to get ahead of themselves the way they did with initial cryptocurrency offerings.
Woodbury Fined $225K Over Alleged Supervisory Lapses in Annuity Additions
The alleged lapses affected more than 3,800 transactions of $25,000 or more from June 2013 to June 2015.
Fidelity Escalates Fee War with Vanguard
Fidelity is introducing five new index mutual funds with expense ratios of 0.05% to 0.07%.
How Advisories Can Collect Referral Fees on Unhired Advisors
FA Match lets wealth management practices collect a fee for referring advisors they’ve vetted but didn’t hire or those who decided to go elsewhere.

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