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October 7, 2020

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Ex-Edward Jones FA Arrested on Theft and Forgery Charges

Casey Kemerly allegedly stole the computer of a business associate and then used her clients to start his own business.

Schwab to TD Ameritrade FAs: Welcome. You’ll Feel Right at Home Here

Charles Schwab executives committed to bringing the two companies’ systems and cultures together.

Atlanta FA Vanishes Amid SEC Investigation

Chris Burns left home the day before he was required to provide the regulator with information about his business, his wife told local police.

Top Advisors Weigh In: The ‘Need for Open, Raw Conversations’ About Unconscious Bias and Embedded Racism

Initiatives of this FA’s firm include developing relationships with historically Black colleges and plans for an internship program and scholarship for students from diverse backgrounds.

Finra Proposes Changes to Senior Financial Protection Rule

The industry’s self-regulator is seeking comments on extending allowable hold periods and permitting temporary holds on transactions.

Bumpy Markets? Bond ETF Liquidity Sleeves Aim to Smooth the Path

By setting aside a portion of your clients' portfolios to ETFs, they can find themselves with needed flexibility when the markets get rough.

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Industry Moves

Wells Fargo FAs with $400M in Client Assets Jump to UBS

Wells Fargo $300 FA Team Bolts for Steward Partners

UBS Loses $300M FA Duo to Independence

Merrill Lynch, Edward Jones FAs Move to Ameriprise

LPL Lures Wealth Management Practice from Avantax

On FinancialTimes.com

Futures Point to Wall St Gains as Trump Surprises on U.S. Stimulus

The Client - Finding and winning new clients More Advisors Are Charging Separate Financial Planning Fees. Here’s Why	The Client - Client retention More Advisors Are Charging Separate Financial Planning Fees. Here’s Why
The Client - ERISA plans/institutional management OneDigital Acquires Vertical Financial Group Retirement Savings at Record Contribution and Participation Rates in 2019: Report	The Client - Behavioral finance Citigroup Consolidates Global Wealth Management Business Merrill Transforms FAs' Client Communications Tactics

The Assets - Portfolio management Citigroup Consolidates Global Wealth Management Business Taxes, Retirement, Investment Ideas Are Top of Mind for FAs’ Clients	The Assets - Insurance planning Annuity Sales Poised for Most Growth Among IBDs: Survey Canadian Digital Financial Planning Firm Expands into U.S.
The Assets - Estate planning Nearly Half of Investors Lack Wills, Estate Plans: Survey UBS Seeks Restraining Order in Dispute Over Deceased FA’s Account	The Assets - Tax planning Taxes, Retirement, Investment Ideas Are Top of Mind for FAs’ Clients

The Practice - Technology LPL Hires Microsoft Vet as Divisional President in Advisor Solutions Cetera Partners with Riskalyze to Offer Advisors Risk, Portfolio Tools	The Practice - Fees and compensation More Advisors Are Charging Separate Financial Planning Fees. Here’s Why
The Practice - Staffing and recruiting Firms Ramp Up Succession Lending to Keep Retiring FAs' Assets In-House Citigroup Consolidates Global Wealth Management Business Stifel Sued Over Sexual Assault and Harassment Complaints	The Practice - Regulatory/legal issues Stifel Sued Over Sexual Assault and Harassment Complaints Biden’s SEC to Zero In on Broker-Dealers, RIAs: Law Firm

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October 7, 2020

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