The Assets: Investment strategies
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June 20, 2018Merrill Lynch Admits Wrongdoing in Order RoutingWirehouse will pay $42 million penalty.No Comments
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June 19, 2018LPL Rolls Out Blockchain SMA StrategyThe company is the first broker-dealer to offer a strategy in the digital ledger technology behind cryptocurrencies.No Comments
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June 18, 2018Wells Fargo and BlackRock's Strategy to Win More Millennials with ESG OfferingsAssets in ESG funds rose close to 40% — but less than 10% of 401(k) plans offer them.No Comments
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June 18, 2018Merrill Lynch Mulls Reversing Ban on Commission-Based Retirement AccountsThe wirehouse’s brokers welcome the review, although some say it could be embarrassing to explain to clients.No Comments
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June 15, 2018Here are the Big Flaws in the SEC’s Best Interest ProposalThe identified weaknesses include the ambiguity of best interest, the absence of a requirement for ongoing obligation for broker-dealers, and the potential for more confusion.No Comments
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June 14, 2018How to Help Clients Through the New Social Security DeficitSocial Security payouts will partially come from reserves for the first time in almost four decades, so advisors may need to talk to clients about alternative retirement income sources.No Comments
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June 14, 2018Investors Raise Advisor Fraud Concerns With the SECRetail investors ask watchdog about Madoff scandal, skills of financial professionals and suitability versus best interest standards.No Comments
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June 14, 2018LPL Settles with Galvin Over $26M Unregistered Securities FineMassachusetts deal follows nationwide agreement reached in May, and other states are likely to reach similar deals.No Comments
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June 13, 2018Providing a True Client-Focused ServiceIntegrating commitment, integrity and results is key.
Transcript Video [ 5:15 ] No Comments -
June 8, 2018Oppenheimer & Co. Forks Over $800k to Client for Unauthorized TradesThe client wanted over $3.5 million in punitive and exemplary damages.No Comments
