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November 16, 2018

Deluge of Lawsuits From Brokers Over Commissions Likely to Hit Ohio National
Lawyer says he doubts any of the brokers affected will give up their trailing commissions without a fight.
Wells Fargo Loses FAs Managing Close to $400M to This Key Rival
A three-person team and a solo advisor, all in California, have jumped ship to the same firm.
Ex-Merrill Lynch Broker Suspended Over “Prohibited” Loans
Broker allegedly borrowed $250,000 from a client to remodel a new office space in anticipation of leaving the wirehouse.
RBC Promotes Two Female FAs to Branch Managers
The move follows an initiative launched last year to attract more female advisors to the company.
What a Democrat-Controlled House Means for Taxes
The 2017 Tax Cuts and Jobs Act might be re-litigated in the House Ways and Means Committee.
Multifamily Offices Join Forces to Serve Clients in Multiple Jurisdictions
Philadelphia-based firm has formed an alliance with a London-based office.