June 20, 2018

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Wirehouse will pay $42 million penalty.

Firm alleges clients have told the JPMorgan the advisor is actively soliciting them.

Terry Lee McCoy allegedly failed to supervise two brokers excessively trading account of the late Home Shopping Network co-founder.

The National Football League Players Association will require the designations starting in 2020.

Firms must build their team diversity if they hope to continue winning and serving clients.

Video

Sometimes expanding your client list can raise concerns for current clients.

Transcript

ThinkTank: Latest Published Content

Building a Cash Flow Reserve Ladder
Thornburg Investment Management, Inc.

RiverPark Long/Short Opportunity Fund 1Q18 Investor Letter
RiverPark Funds

Green Bonds: A Growing Market, But Not Without Weeds
Saturna Capital

Beyond TIPS: A “Pure Play” in Inflation Protection
Lord Abbett

Goldilocks Expectations Are Meeting Up Against Some Tough Realities
Tematica Research

Topics

All Topics

The Client - Finding and winning new clients Diversify Your Advisor Staff or Perish, FAs Warn JPMorgan Seeks Temporary Injunction Against Rep Who Left For Merrill Lynch NFL Players Will Only Deal with CFPs or CFAs	The Client - Client retention How to be Client-Centric While Growing Your Business Diversify Your Advisor Staff or Perish, FAs Warn JPMorgan Seeks Temporary Injunction Against Rep Who Left For Merrill Lynch
The Client - ERISA plans/institutional management Merrill Lynch Mulls Reversing Ban on Commission-Based Retirement Accounts Clock Runs Out on DOL Appeal to Supreme Court on Fiduciary Rule	The Client - Behavioral finance FAs Expect More Controversies Like Marvel Icon Stan Lee’s Senior Abuse Woes Americans Confident About Their Own Financial Literacy — for No Reason

The Assets - Portfolio management NFL Players Will Only Deal with CFPs or CFAs LPL Rolls Out Blockchain SMA Strategy	The Assets - Insurance planning Fifth Third Sanctioned $6M Over Annuity Disclosure Failures DOL Rule Demise Coincides with Growing Popularity of Hybrid Annuities, says Nationwide Boss
The Assets - Estate planning FAs Expect More Controversies Like Marvel Icon Stan Lee’s Senior Abuse Woes Raymond James Rolls Out Tool for Gathering Client Asset Data	The Assets - Tax planning Advisors to Lobby Washington on Priority Regulatory, Tax Issues FA Guilty of Fraud Gets Big Jail Time and Multi-Million Penalty

The Practice - Technology How to be Client-Centric While Growing Your Business Robo-Fueled Segmentation Shows Wealth Management’s Future	The Practice - Fees and compensation JPMorgan Seeks Temporary Injunction Against Rep Who Left For Merrill Lynch Merrill Lynch Admits Wrongdoing in Order Routing Ex-Morgan Stanley Manager Barred Over HSN Co-Founder Case
The Practice - Staffing and recruiting NFL Players Will Only Deal with CFPs or CFAs JPMorgan Seeks Temporary Injunction Against Rep Who Left For Merrill Lynch Diversify Your Advisor Staff or Perish, FAs Warn	The Practice - Regulatory/legal issues Diversify Your Advisor Staff or Perish, FAs Warn Ex-Morgan Stanley Manager Barred Over HSN Co-Founder Case

1	Wells Fargo Reportedly Merging Brokerages
2	Merrill Lynch Mulls Reversing Ban on Commission-Based Retirement Accounts
3	Morgan Stanley Loses $175 Million FA to Stifel
4	Here’s How Finra Judges Your Suitability Standard
5	JPMorgan Settles Retaliation Claims with Former Wealth Manager

1	Wells Fargo Reportedly Merging Brokerages
2	Morgan Stanley Reveals New Plan to Move Clients To Goals-Based Advice
3	Merrill Lynch Mulls Reversing Ban on Commission-Based Retirement Accounts
4	Here’s How Finra Judges Your Suitability Standard
5	Private Equity Drives Wealth Firm M&A Like Never Before

1	Wells Fargo Reportedly Merging Brokerages
2	Here’s How Finra Judges Your Suitability Standard
3	Private Equity Drives Wealth Firm M&A Like Never Before
4	How BrokerCheck Source Overhaul Could Cut Your Compliance Costs
5	Morgan Stanley Reveals New Plan to Move Clients To Goals-Based Advice