The Practice: Regulatory/legal issues
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July 20, 2018How FAs Could Help Protect Clients from Social Security ScamsSocial Security fraudsters inevitably ask for personal information legitimate calls normally would not request.No Comments
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July 20, 2018Morgan Stanley and Finra Colluded to Harm My Arbitration Case, Says FAFA says she is fighting any effort by Morgan Stanley and Finra to harm her reputation and her pending case.No Comments
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July 20, 2018Morgan Stanley’s Gorman Says Broker Poaching Is OverThe firm’s broker ranks remain relatively flat following withdrawal from the Broker Protocol.Last Comment: July 30, 2018
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July 20, 2018Ex-Morgan Stanley Advisor Barred by SECCornelius Peterson and another former Morgan Stanley broker allegedly stole $450,000 from one elderly client.Last Comment: July 20, 2018
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July 20, 2018New York State Adopts Best Interest Standard for InsuranceThe regulation will apply to annuities and life insurance and goes into effect in August.No Comments
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July 20, 2018SEC Charges New England AdvisorsOne advisor is accused of stealing over $3 million from her clients.No Comments
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July 19, 2018The Chase is On: Re-Winning Former Clients is Key for Breakaway FAsThe pressure is on for FAs to re-win their former clients after breaking from wirehouses.No Comments
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July 19, 2018Wells Fargo’s Private Bank Automated Investment Management, Report ClaimsUnit has been gradually shifting focus away from investment performance to sales, according to news report.Last Comment: July 19, 2018
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July 18, 2018Should RIAs Be Subjected to Broker-Like Licenses With Continuing Education Requirements?The SEC is considering whether advisors should be subjected to continuing education or licensing requirements. Here's what FT 300 RIAs have to say.
Transcript Video [ 2:38 ] Last Comment: July 18, 2018
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July 18, 2018CFA Will Examine FAs On Cryptocurrencies and BlockchainThe topics will be included starting in 2019.No Comments
