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June 20, 2018

Merrill Lynch Admits Wrongdoing in Order Routing
Wirehouse will pay $42 million penalty.
JPMorgan Seeks Temporary Injunction Against Rep Who Left For Merrill Lynch
Firm alleges clients have told the JPMorgan the advisor is actively soliciting them.
Ex-Morgan Stanley Manager Barred Over HSN Co-Founder Case
Terry Lee McCoy allegedly failed to supervise two brokers excessively trading account of the late Home Shopping Network co-founder.
NFL Players Will Only Deal with CFPs or CFAs
The National Football League Players Association will require the designations starting in 2020.
Diversify Your Advisor Staff or Perish, FAs Warn
Firms must build their team diversity if they hope to continue winning and serving clients.
Video
How to be Client-Centric While Growing Your Business
Sometimes expanding your client list can raise concerns for current clients.  Video [ 3:50 ]   Transcript  

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