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January 3, 2019

Merrill Lynch Sued by Widow of Former FA Over Book of Business
Wife believes former broker didn’t receive compensation owed to him.
Ex-Wells Fargo FA Faces 128 Felony Counts
The advisor allegedly defrauded clients out of more than $1 million.
Here’s How Top RIAs Grow Their Client Base with Amazing Success
Just like Yelp reviews for restaurants, client referrals are key to RIA growth.
Why LPL, Cetera, Kestra and Others Will Massively Ramp Up Hiring
Meanwhile, a long down market could lead to more sales of smaller broker-dealers.
Former Basketball Coach Pleads Guilty in Bribery Case Involving FAs
A former University of Southern California assistant coach allegedly received a bribe from a financial advisor.
Are FAs Over 40 Missing a Trick -- Or Will Experience Prove Them Right?
Technology isn't being adopted as widely amongst this key demographic of advisors.
How a 20-Year-Old Is Teaching Others How to Retire Early
A college student who plans to retire by 30 is being completely transparent about his spending and saving.

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