The Practice: Regulatory/legal issues
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November 19, 2018Ex-Wells Fargo Rep Barred for Alleged Inaccuracies in His NotesThe wirehouse discharged the advisor in 2016 over the allegations.No Comments
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November 16, 2018Deluge of Lawsuits From Brokers Over Commissions Likely to Hit Ohio NationalLawyer says he doubts any of the brokers affected will give up their trailing commissions without a fight.No Comments
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November 16, 2018What a Democrat-Controlled House Means for TaxesThe 2017 Tax Cuts and Jobs Act might be re-litigated in the House Ways and Means Committee.No Comments
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November 16, 2018Multifamily Offices Join Forces to Serve Clients in Multiple JurisdictionsPhiladelphia-based firm has formed an alliance with a London-based office.No Comments
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November 16, 2018Ex-Merrill Lynch Broker Suspended Over “Prohibited” LoansBroker allegedly borrowed $250,000 from a client to remodel a new office space in anticipation of leaving the wirehouse.Last Comment: November 16, 2018
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November 15, 2018Illegalities of Pay History Interview Questions Prove Both Risk and Opportunity for AdvisorsYou can help your clients prepare for job changes whilst ensuring you're compliant in your own business.No Comments
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November 15, 2018Investment Advisor Sentenced to 14 Years in PrisonThe advisor admitted to using $1.5 million in client funds for personal expenses and a Ponzi-like scheme.No Comments
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November 14, 2018Morgan Stanley is Infringing Upon Ex-Employees' Constitutional Rights, Lawyers ArgueHardball tactics to keep disputes out of court and in arbitration infringe on rights to a fair trial, attorneys insist.No Comments
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November 14, 2018Commonwealth Pays Close to $900K Over Alleged Overcharges on Mutual Fund SharesMeanwhile, the company is planning to set up a parallel business for RIAs.No Comments
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November 13, 2018Expungement Warning: Lawyers are Selling Advisors False PromisesThere's no guarantee advisors can have their record cleared, and in the meantime they might be bilked.Last Comment: November 13, 2018
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