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Merrill Lynch Accused of Failing to Pay Minimum Wage in Class Action Lawsuit

The suit is brought by call center workers in Illinois.

Who Wins in a Fiduciary Fight – Feds or States?

The focus is on a 1996 federal law that has a provision on limitations on what states can do when regulating brokers and dealers.

Deutsche Bank Continues Wealth Management Expansion

Plus Dynasty and Carson make key plays.

Edward Jones Fined Over Alleged Inaccuracies About Customer Complaints

The firm had claimed alleged damages of $5,000 on dozens of complaints while actual damages sought were as high as $630,000.

BMO Hires BNY Mellon Exec to Lead Family Office

Shannon Kennedy will lead a team of more than 200 people overseeing ultra high net worth clients.

Raymond James Reportedly Keeping 2020 Comp Plan Unchanged

Brokers in the employee channel will reportedly continue to be able to keep 28% to 50% of production.

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The Client - Finding and winning new clients Deutsche Bank Continues Wealth Management Expansion More FAs Jump Ship for Stifel Merrill Lynch Loses Two FA Teams to This Rival	The Client - Client retention Deutsche Bank Continues Wealth Management Expansion Edward Jones Fined Over Alleged Inaccuracies About Customer Complaints More FAs Jump Ship for Stifel
The Client - ERISA plans/institutional management Why Big Firms Have Paid Billions in ERISA Class Actions Maryland, Nevada Push for State-Level Fiduciary Rules	The Client - Behavioral finance FAs and Investors Increasingly Pessimistic About the Future Edward Jones, Charles Schwab, Morgan Stanley Among Most Trusted by Consumers

The Assets - Portfolio management Special Report: Race to Zero and the Brave New World: What Lies Ahead for ETFs Special Report: ETF Strategy Masterclass: Using ETFs for Tactical Calls	The Assets - Insurance planning How Mick Jagger and The Rolling Stones are Weirdly Being Financed by Annuities
The Assets - Estate planning Here’s How You Win Hundreds of Prospective Tech Millionaires From the Wall Street Firms Senators Urge Finra to Bar FAs from Receiving Client Inheritance	The Assets - Tax planning Potential Conflicts Could Turn Down Volume for New Tax Shelters’ Cheerleaders Here’s How You Win Hundreds of Prospective Tech Millionaires From the Wall Street Firms

The Practice - Technology Danger: Compliance Risks for Advisors and How to Turn them into Opportunities When Morgan Stanley and Merrill Managers Talk About Tech Spend, What’s the Subtext? Here’s How Wells Fargo Reins in the Social Media Activities of its Advisors	The Practice - Fees and compensation Merrill Lynch Accused of Failing to Pay Minimum Wage in Class Action Lawsuit Who Wins in a Fiduciary Fight – Feds or States? Deutsche Bank Continues Wealth Management Expansion
The Practice - Staffing and recruiting Merrill Lynch Accused of Failing to Pay Minimum Wage in Class Action Lawsuit Deutsche Bank Continues Wealth Management Expansion BMO Hires BNY Mellon Exec to Lead Family Office	The Practice - Regulatory/legal issues Danger: Compliance Risks for Advisors and How to Turn them into Opportunities Merrill Lynch Accused of Failing to Pay Minimum Wage in Class Action Lawsuit Who Wins in a Fiduciary Fight – Feds or States?

1	How Mick Jagger and The Rolling Stones are Weirdly Being Financed by Annuities
2	Merrill Lynch FA Barred After Allegations of Taking a Loan From a Client
3	Former San Antonio Spurs Star Trades NBA for Financial Advice Gig
4	Ex-UBS Advisors Forced into Finra Arbitration by Federal Court Judge
5	Here’s How Wells Fargo Reins in the Social Media Activities of its Advisors

1	How Mick Jagger and The Rolling Stones are Weirdly Being Financed by Annuities
2	Former San Antonio Spurs Star Trades NBA for Financial Advice Gig
3	How Mutual Fund Share Classes Could Trip You Up on Reg BI Compliance
4	Why 18-Year-Olds Can Now Sit for Industry Qualification Exams
5	Special Report: How ETFs Work and Why that Matters to Your Clients

1	Former San Antonio Spurs Star Trades NBA for Financial Advice Gig
2	How Mick Jagger and The Rolling Stones are Weirdly Being Financed by Annuities
3	Here’s How Wells Fargo Reins in the Social Media Activities of its Advisors
4	Special Report: How ETFs Work and Why that Matters to Your Clients
5	When Morgan Stanley and Merrill Managers Talk About Tech Spend, What’s the Subtext?

S	M	T	W	T	F	S






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