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June 19, 2019

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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.

Topics

All Topics

The Client - Finding and winning new clients Why Many RIAs Continue Serving Unprofitable Clients Fiduciary Battle Spreads to New Jersey, Massachusetts and Nevada	The Client - Client retention When Morgan Stanley and Merrill Managers Talk About Tech Spend, What’s the Subtext? FAs and Investors Increasingly Pessimistic About the Future
The Client - ERISA plans/institutional management Why Big Firms Have Paid Billions in ERISA Class Actions Maryland, Nevada Push for State-Level Fiduciary Rules	The Client - Behavioral finance FAs and Investors Increasingly Pessimistic About the Future Edward Jones, Charles Schwab, Morgan Stanley Among Most Trusted by Consumers

The Assets - Portfolio management FAs and Investors Increasingly Pessimistic About the Future Special Report: ETF Strategy Masterclass: Asset Class, Sector and Regional Diversification	The Assets - Insurance planning How Mick Jagger and The Rolling Stones are Weirdly Being Financed by Annuities TIAA Changes Advisors’ Sales Materials Following Allegations of Improper Practices
The Assets - Estate planning Here’s How You Win Hundreds of Prospective Tech Millionaires From the Wall Street Firms Senators Urge Finra to Bar FAs from Receiving Client Inheritance	The Assets - Tax planning Potential Conflicts Could Turn Down Volume for New Tax Shelters’ Cheerleaders Here’s How You Win Hundreds of Prospective Tech Millionaires From the Wall Street Firms

The Practice - Technology Danger: Compliance Risks for Advisors and How to Turn them into Opportunities When Morgan Stanley and Merrill Managers Talk About Tech Spend, What’s the Subtext?	The Practice - Fees and compensation Merrill Lynch FA Barred After Allegations of Taking a Loan From a Client When Morgan Stanley and Merrill Managers Talk About Tech Spend, What’s the Subtext?
The Practice - Staffing and recruiting Why 18-Year-Olds Can Now Sit for Industry Qualification Exams Merrill Lynch FA Barred After Allegations of Taking a Loan From a Client	The Practice - Regulatory/legal issues Danger: Compliance Risks for Advisors and How to Turn them into Opportunities Why 18-Year-Olds Can Now Sit for Industry Qualification Exams

1	How Mick Jagger and The Rolling Stones are Weirdly Being Financed by Annuities
2	Merrill Lynch FA Barred After Allegations of Taking a Loan From a Client
3	Ex-UBS Advisors Forced into Finra Arbitration by Federal Court Judge
4	Here’s How Wells Fargo Reins in the Social Media Activities of its Advisors
5	Fired Merrill Lynch Rep Suspended Over Alleged Cryptocurrency Mining

1	How Mick Jagger and The Rolling Stones are Weirdly Being Financed by Annuities
2	Fleming’s Rockefeller Lures Yet Another Merrill Lynch Exec
3	Merrill Lynch Counting on a Boost in Household Clients This Year
4	Why 18-Year-Olds Can Now Sit for Industry Qualification Exams
5	Special Report: How ETFs Work and Why that Matters to Your Clients

1	How Mick Jagger and The Rolling Stones are Weirdly Being Financed by Annuities
2	Here’s How Wells Fargo Reins in the Social Media Activities of its Advisors
3	Special Report: How ETFs Work and Why that Matters to Your Clients
4	When Morgan Stanley and Merrill Managers Talk About Tech Spend, What’s the Subtext?
5	RIA AUM Growth Slowed Substantially in 2018

S	M	T	W	T	F	S






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June 19, 2019

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