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June 24, 2016
Regulator Slams Merrill Lynch with $425 Million in Fines
Cases involve misuse of customer funds and misleading structured-note documents.
Medicare Premiums for High Earners Could Rise 22% Next Year
Jump would come from low inflation shielding less wealthy beneficiaries from increases in premiums.
Britain Votes to Leave the European Union
Broker-dealers and RIAs see Brexit as a clearcut negative for investors over here.
Don’t Let the Perfect Be the Enemy of the Good
A less-than-optimal choice is better than a client making no choice at all.
Mass. Securities Chief Galvin Fines BDs for Proxy Vote Fraud
Separately, Finra fines Ameriprise for supervisory failures.
RIAs look Beyond Equities in Wake Jan.-Feb. Market Wobble
Advisors want better returns in high yield, munis, emerging market debt, commodities and managed futures.
|The Client - Finding and winning new clients||The Client - Client retention|
|The Client - ERISA plans/institutional management||The Client - Behavioral finance|