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October 20, 2017

Wells Fargo Readies Early 2018 Systems Revamp
New client dashboard and behavioral assessment tools expected in Q1.
UBS Nudges FAs to Move Small Accounts to Call Center
Brokerage also adjusts compensation plan in light of DOL’s fiduciary rule.
Finra Might Ban Non-Lawyer Arbitration Reps
The industry’s self-regulator has warned about non-lawyer reps fleecing customer claimants.
LPL Loses $1.4B OSJ but Retains $570M OSJ
Meanwhile, a broker-dealer opts to stay on following LPL’s acquisition of the assets of National Planning Holdings.
When Clients Get Nervous, Go Back to the Basics
Remind anxious clients of what they told you during your first meetings.
ThinkTank: Latest Published Content