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May 28, 2019

Morgan Stanley Advisor Gave Bad Advice, Lawsuit Claims
The advice apparently involved how to deal with taxes on an inherited retirement account.
Jumping Ship? What to Look for in LPL’s Independent Employee Channel
Experts delve into the pros and cons of LPL's new offering.
Morgan Stanley Boss Urges Wealth Clients to be Patient About Uber IPO
The wirehouse reportedly allowed some of its wealth management clients as well as its own financial advisors to get in on Uber at the pre-IPO price.
Merrill Lynch FA Team Departs for LPL Financial
The duo has joined LPL’s broker-dealer and corporate RIA platforms.
SEC Warns Broker-Dealers and Investment Advisors About Customer Data Security Failures
The regulator has issued a risk alert on customer records stored in the cloud and other network storage solutions.
Why Plan Participants Aren't Very Confident About Their Retirement
Retirement plan participants are most confident with plans that provide access to human advisors as well as digital tools, according to J.D. Power.

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