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April 5, 2019

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Previous Issue

The Era of Trump Trade Policy and Brexit Pushes Advisors to Answer Tough Questions

FAs need to become fluent in trade-policy talking points to answer client questions, experts warn.

Conventional Wisdom on Next Gen Wealth Transfers Might Be Dead Wrong

Less than a third of HNW client’s kids actually move assets to new wealth manager

Carson Group Plans $80 Million Spend on New HQ

The project aims to house Carson’s 300 current employees and allow room for growing its staff and advisor ranks.

LPL Nabs Kestra-Aligned Practice with $11B in Retirement-Plan Assets

Strategic Retirement Partners works with more than 700 retirement-plan clients.

F.L.Putnam Uses Key Acquisition to Deepen New England Offerings

New Hampshire-based Financial Focus oversees $275 million.

Why Big Firms Have Paid Billions in ERISA Class Actions

Nonprofit finds 201 settlements or verdicts involving the largest 1,700 public and private companies.

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The Client - Finding and winning new clients UBS Loses Team to Fleming’s Rockefeller LPL Breakaway IFP Launches Independent Broker-Dealer College Programs Spring Up to Address Coming FA Shortage	The Client - Client retention Kestra Makes Big Play to Buy Books of Business From Retiring Advisors LPL Breakaway IFP Launches Independent Broker-Dealer
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 UBS Goes All-In on This Investment Style How to Position Client Portfolios for Volatility Trump Tweet May Change UBS Client Views on Trade Wars

The Assets - Portfolio management Why Finra Has Zeroed in on College Savings Plans Why Social Security Concerns Could Drive Clients Away from their Advisors	The Assets - Insurance planning TIAA Changes Advisors’ Sales Materials Following Allegations of Improper Practices Morgan Stanley Was “Asleep at the Wheel” When Insurers Canceled its Client's Policy, Lawsuit Claims
The Assets - Estate planning Senators Urge Finra to Bar FAs from Receiving Client Inheritance Merrill Lynch Let a Client Change a Beneficiary from the Grave, Plaintiffs Alleged	The Assets - Tax planning Why Finra Has Zeroed in on College Savings Plans New Tax Shelter Investment Has No Shortage of Takers

The Practice - Technology Redtail CRM Data Breach May Have Exposed FA Client Info Edward Jones and LPL are Reviewing Fees, Products and Potential Conflicts To Prepare for SEC Reg BI	The Practice - Fees and compensation UBS Loses Team to Fleming’s Rockefeller UBS Ordered to Pay $7.8M Over Puerto Rico Bonds
The Practice - Staffing and recruiting UBS Loses Team to Fleming’s Rockefeller Kestra Makes Big Play to Buy Books of Business From Retiring Advisors	The Practice - Regulatory/legal issues UBS Ordered to Pay $7.8M Over Puerto Rico Bonds Redtail CRM Data Breach May Have Exposed FA Client Info

1	Broker-Dealer Cannabis Activity Comes Under Scrutiny
2	Broker-Dealer Exams Face Dramatic Overhaul
3	UBS Cuts 150-Plus Support Jobs, News Reports
4	Morgan Stanley Ordered to Pay Clients $519K Over Allegedly Unsuitable Recommendations
5	Wells Fargo Slams Sacked Employee's Lawsuit Claims as "Tenuous at Best"

1	UBS Cuts 150-Plus Support Jobs, News Reports
2	Fidelity Squeezes Out Goldman Sachs on the Short Sell
3	Morgan Stanley Ordered to Pay Clients $519K Over Allegedly Unsuitable Recommendations
4	Harvard Offers Financial Literacy Training
5	All Channels Except Wirehouses Added FAs in 2018

1	Almost Half of Wealth Management Clients Believe They’re Not Charged Fairly
2	Broker-Dealer Cannabis Activity Comes Under Scrutiny
3	TIAA Changes Advisors’ Sales Materials Following Allegations of Improper Practices
4	Why SEC’s New Reg BI Could Bring More Legal Challenges from Clients
5	Fiduciaries Aren't Free of Conflict, Warns SEC Lawyer

S	M	T	W	T	F	S






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April 5, 2019

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