In a new episode of the Financial Planning podcast, Associate Editor Jessica Mathews explains why Merrill Lynch’s investigation of two former brokers has wide industry implications.
As a journalist covering wealth management compliance, custodians and wirehouses, Mathews obtained more than 340 pages of documents involving the firm’s termination of the advisors. Then she wrote “Inside look: A Merrill Lynch investigation into broker cold-calling.”
In the podcast, Mathews answered five questions posed by FP Senior Editor Tobias Salinger:
1. How did you obtain all of these text messages and the hundreds of pages of other documents in the massive amount of materials you reviewed for this story?
2. What were the main takeaways from the documents?
3. What was Merrill Lynch’s response?
4. What are the wider industry implications of this story?
5. What are your next steps in following up this story?
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