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November 26, 2018

My Merrill Lynch “Grand Experiment:” Breakaway Advisor Reveals Reasons for Curious Move
Why did this veteran advisor join Merrill Lynch for just two years mid-career?
Morgan Stanley FA Splits to Florida Wealth Management Practice
The advisor has been named Provenance Wealth Advisors’ Sarasota regional director.
SEC Fines Firm Over Alleged Failure to Deliver Promised Discounts
Firm allegedly failed to apply the discounts it promised its clients.
Broker Barred for Allegedly Stealing from His Own Mother’s Brokerage Account
The broker allegedly withdrew $130,000 from his mother’s brokerage account to cover his own expenses.
Advisor Moves: Raymond James Hires CIO From Deutsche Bank
Also moves to LPL and Prudential Advisors.
How Advisors Are Boosting ESG Investing
For many advisors, offering socially responsible investing means not just adhering to their values, but also offering diversification.