The Practice: Regulatory/legal issues
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September 27, 2018Morgan Stanley Loses Little Legal Battle with Potentially Big ConsequencesThe wirehouse was denied a TRO against six ex-advisors. Could this become a trend?No Comments
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September 27, 2018Voya Settles With Payout in First-Ever SEC Identity Cyber Theft CaseFraudsters were allegedly able to obtain client account access by impersonating Voya’s independent contractors.No Comments
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September 26, 2018TD Ameritrade Faces Fine Over Alleged Suspicious Activity Report FailuresCompany failed to submit reports on several independent advisors it terminated.No Comments
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September 26, 2018Why the CFP Board Doesn’t Want State Fingers in the Financial Planning PieA state-by-state solution would be too costly for advisors, the Board says.No Comments
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September 26, 2018Morgan Stanley Legal Battle with Six Ex-Advisors Heats UpThe team bolted to Stifel earlier this month.No Comments
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September 25, 2018Edward Jones Fights Advisor With Restraining OrderEdward Jones seeks TRO to bar FA from contacting his former clients pending arbitration.Last Comment: September 25, 2018
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September 25, 2018SEC Chair Insists There’s No Deadline for Best InterestInvestors, meanwhile, complain that the proposed rules are confusing.No Comments
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September 25, 2018SEC Enforcement Blows its Own Trumpet Over Digital Coin Initiatives and Self-Reported Fee Violation AmnestySo far this year the two programs are the division's big success stories.No Comments
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September 24, 2018LPL Accused of Race and Sex-Based Discrimination in LawsuitPlaintiff says she's been passed over for promotions and isn't paid the same as her white male colleagues.No Comments
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September 24, 2018More Advisors Charged With Cherry-PickingRIA and husband-and-wife owners faces charges from the SEC.No Comments
