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February 15, 2019

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Maryland Fiduciary Bill Succeeds Where SEC Reg BI Fails, Says Advocate

Successful industry lobbying has lead to patchwork of state laws, she says.

Kestra Financial Agrees to $2 Million Payment Over Alleged Mutual Fund Sales Violations

The company allegedly failed to offer eligible clients lower-fee share classes for close to a decade.

UBS Loses $730 Million Team to This Rival

The team join a new private client group office in Cincinnati.

Hightower Adds $2.6 Billion RIA

The addition brings HighTower’s AUM to $68.6 billion.

LPL Lures Yet Another Bank-Based Advisor Practice ... Here's How They Did it

Community First Investment Group joins from LaSalle Investment Management.

Amid Falling Markets, B-Ds and Retail Brokerages Post Strong Revenue

Charles Schwab, TD Ameritrade and E*Trade all benefited from higher trading activity, according to Moody's Investors Service.

Commonwealth Offers MassMutual Access to Its Wealth Management Tech Platform

The Advisor360° platform lets advisors have a single program for tracking portfolios, trading, client contact tracking and more.

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The Client - Finding and winning new clients LPL Lures Yet Another Bank-Based Advisor Practice ... Here's How They Did it Amid Falling Markets, B-Ds and Retail Brokerages Post Strong Revenue Hightower Adds $2.6 Billion RIA	The Client - Client retention Hightower Adds $2.6 Billion RIA LPL Lures Yet Another Bank-Based Advisor Practice ... Here's How They Did it Amid Falling Markets, B-Ds and Retail Brokerages Post Strong Revenue
The Client - ERISA plans/institutional management Maryland, Nevada Push for State-Level Fiduciary Rules Oregon Ready to Help Other States Set Up Auto-IRA Programs	The Client - Behavioral finance Almost Half of Federal Workers Fell Behind on Bills During Shutdown How FAs Can Overcome Their Clients’ Annuity Aversion

The Assets - Portfolio management Commonwealth Offers MassMutual Access to Its Wealth Management Tech Platform Merrill Lynch and UBS Decry Deficits in Specialist Data	The Assets - Insurance planning Variable Annuities are Still Being Recommended — Despite Ohio National Fallout How FAs Can Overcome Their Clients’ Annuity Aversion
The Assets - Estate planning Follow These Signs to Avoid Picking the Wrong Trust Provider Why FAs Piled into ETFs Last Year and Will Further the Trend in 2019	The Assets - Tax planning Merrill Lynch Asks Court to Toss Class-Action Alleging "Misleading and Deceptive" Marketing New Tax Shelter Rules Might Move Forward Too Late Due to Government Shutdown How the 0.1% Lose Their Money, According to Family Offices

The Practice - Technology LPL Lures Yet Another Bank-Based Advisor Practice ... Here's How They Did it Commonwealth Offers MassMutual Access to Its Wealth Management Tech Platform Wells Fargo's Online Outages and New Fee Give Some Pause	The Practice - Fees and compensation Ex-Merrill Lynch FA Fired and Barred Over Bypassing Internal Controls Variable Annuities are Still Being Recommended — Despite Ohio National Fallout Wells Fargo's Online Outages and New Fee Give Some Pause
The Practice - Staffing and recruiting What Jay-Z Wants, Finra Insists It Already Has Ex-Merrill Lynch FA Fired and Barred Over Bypassing Internal Controls Finra Sues Ex-Broker Over Failing to Disclose Sexual Misconduct Felony	The Practice - Regulatory/legal issues What Jay-Z Wants, Finra Insists It Already Has Ex-Merrill Lynch FA Fired and Barred Over Bypassing Internal Controls Finra Sues Ex-Broker Over Failing to Disclose Sexual Misconduct Felony

1	Ex-UBS Broker Gets 9 Years in Prison Over $4 Million Fraud
2	Variable Annuities are Still Being Recommended — Despite Ohio National Fallout
3	Finra Sues Ex-Broker Over Failing to Disclose Sexual Misconduct Felony
4	Key Wells Fargo Lawyer Wants Some Complaints Excluded from BrokerCheck's Permanent Record
5	Wells Fargo's Online Outages and New Fee Give Some Pause

1	Maryland Fiduciary Bill Succeeds Where SEC Reg BI Fails, Says Advocate
2	Wells Fargo Advisors Has Tough Time Signing New Clients, Exec Claims
3	Morgan Stanley Makes Strategic Play with New Acquisition
4	UBS Regional Boss Explains How to Prepare for the Great Wealth Transfer
5	BlackRock and Pershing Have Curiously Similar Strategies to Bolster Business with FAs

1	Wells Fargo Advisors Has Tough Time Signing New Clients, Exec Claims
2	Key Wells Fargo Lawyer Wants Some Complaints Excluded from BrokerCheck's Permanent Record
3	Variable Annuities are Still Being Recommended — Despite Ohio National Fallout
4	Wells Fargo's Online Outages and New Fee Give Some Pause
5	These are the Critical Issues Keeping Top Broker-Dealers Up at Night

S	M	T	W	T	F	S






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February 15, 2019

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