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May 16, 2018
Help Clients Avoid Social Security Regret
Mistakes don’t need to last for all of retirement.
Morgan Stanley Faces Class Action Suit Over FA Expense Reimbursements
Suit alleges the wirehouse regularly undercompensated its California reps on business expenses.
SEC’s Best-Interest Proposal Has Advisors Stumped
Majority of advisors are undecided about or aren’t sure what to make of the regulator’s recent proposal.
First Republic Nabs FAs from Jefferies
The duo oversaw around $500 million.
FA Charged over Million-Dollar Senior Fraud Scheme
Advisor was also under investigation by the SEC.
Stifel Financial Acquires Banking Firm Business Bancshares
Stifel continues expanding its banking capabilities.
|The Client - Finding and winning new clients||The Client - Client retention|
|The Client - ERISA plans/institutional management||The Client - Behavioral finance|