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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.
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