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November 22, 2017

Eaton Vance: Advisors Bracing for Surge in Political and Market Risks
New study finds more FAs are warning clients about current conditions being “the calm before the storm.”
JP Morgan Securities Fined $1.25M for Employee Security Shortfalls
Finra says the firm employed four individuals subject to statutory disqualification because of criminal convictions.
Finra Fines Retired Morgan Stanley FA
Rep allegedly over-concentrated elderly clients in a single security.
SEC to Focus on Individual FAs Next Year
Legal experts say regulator will prioritize individual advisors over firms.
Video
The Skills You Need for Forensic Investigation
Good credentials go a long way to establishing legitimacy if you want to moonlight in forensic financial investigation.  Video [ 5:00 ]   Transcript  

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