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December 10, 2018

Merrill Lynch’s Comp Plan Contains a Curious Digital Incentive
BofA wants clients logging on more. And they’re using Merrill advisors to increase digital engagement.
Wells Fargo’s 2019 Comp Plan to Be Mostly Unchanged
Brokers working under the firm’s two-tier payment system will see no changes, while those not on the system who produce less than $250,000 in annual revenue will see cuts, according to reports.
Finra Reveals Broker-Dealer Suitability Fails
Revelations may tip Finra's hand on how it will handle oversight of the SEC’s pending Regulation Best Interest.
Amid Trade and Political Worries, Barings Says Diversify
Political and trade concerns have made markets increasingly volatile, and Barings says portfolio diversification may prove worthwhile for FAs.
RBC Wealth Management Helps Fight Financial Abuse
The company is also sponsoring Sifma’s initiative to protect senior investors.
Indie FAs Sue Former RIA Alleging Their Business Was Held for “Ransom”
Advisors say they were held “hostage” when they left their old firm.
Folio Financial Launches Robo for Advisors
Automated advice platform comes with several options, including a standalone robo and a hybrid.
Are FAs Seeking Clients All Wrong?
Survey suggests most Americans want financial planning help, but advisors might not focus on prospects early enough.