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February 16, 2018

Scottrade Lands in DOL Fiduciary Rule Hot Water
Watchdog says the broker-dealer’s sales contests violated the DOL’s fiduciary rule.
They Love You Now, But Can You Keep Your Clients Loyal in a Downturn?
FAs rank high in clients' esteem but that may have everything to do with the bull market.
Trump’s SEC Punishes Wall Street Without Fanfare
Regulator seems to no longer tout sanctions against such large firms as Merrill Lynch.
Look Beyond the Client's Ask
Don't let the fear of asking for a fee for additional services keep you from helping a client.
Robo Aims to Marry FAs with Algorithms
Grove gives unlimited access to certified financial advisors for $600 per year and auto-investing for 0.25% of AUM.