The Practice: Regulatory/legal issues
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July 25, 2017Wells Fargo Wealth Scandal Threatens Its Good NameWith the bank’s troubles now firmly in its wealth division, marketing experts weigh in.No Comments
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July 24, 2017Wells Fargo Red-Faced Over Massive Data BreachA lawyer for the bank allegedly released private data on up to 50,000 Wells Fargo Advisors customers.No Comments
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July 21, 2017What to Do When Finra Comes KnockingFirm examinations don’t have to be harrowing. Here’s what to do.No Comments
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July 20, 2017Madoff Scandal Lost Industry $363 BillionBut financial planners suffered the least.Last Comment: July 21, 2017
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July 20, 2017Bill to Kill DOL Rule Moves to House FloorThe House Committee on Workforce and Education moves to replace the fiduciary rule with a best-interest standard.Last Comment: July 21, 2017
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July 19, 2017Morgan Stanley Sued Over Alleged Sexual HarassmentFormer advisor says wirehouse failed to clamp down on a culture of “inappropriate,” “sexually-charged” behavior.No Comments
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July 18, 2017Edward Jones Fined For Inadequate Record HandlingFinra fines the firm $750,000 in part for failing to ensure aggregate reports were delivered to clients.Last Comment: July 20, 2017
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July 18, 2017Wells Fargo Settles $3.5M Advisor Training Class-ActionFirm agrees to reimburse former advisor trainees whom it required to pay back training costs.No Comments
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July 14, 2017DOL Rule Assault Comes From All QuartersFlurry of activity points to “soft repeal” through courts and Congress.Last Comment: July 14, 2017
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July 13, 2017Brokerages May Go the Way of the Buggy WhipTransactional firms risk further erosion amid shifting consumer priorities.No Comments
