WealthManagment.com Daily Memo
Wealth Management Daily Memo

NOVEMBER 6, 2019

REGULATION AND COMPLIANCE

Merrill, Raymond James To Return $12 Million Gained From High-Fee 529 Plans

The Financial Industry Regulatory Authority ordered the brokerages to pay restitution to clients allegedly sold more expensive share classes in 529 college savings plans.

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EQUITIES

Matthews Asia: Investment Opportunities Persist in China Beyond Trade Disputes

Investment strategist Andy Rothman said he was "90% sure" there would be a trade deal between the U.S. and China by month's end during the discussion at the Schwab IMPACT Conference in San Diego.

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SPONSORED CONTENT

5 Active Fixed-Income Facts

Here are 5 reasons to change your mind about fixed income.

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ETFS

Finding a Sweet Spot on a Flat Yield Curve

Consider—and consider closely—intermediate-term bonds.

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DEAD CELEBRITY PODCAST

Liberace and Planning for LGBTQ Clients

Help LGBTQ clients protect themselves, their families and their assets.
 
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