The Practice: Regulatory/legal issues
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August 29, 2017SEC Must Fix Double-Standard Applied to RobosRobos aren’t held to the same fiduciary standard as traditional advisors.
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August 29, 2017Most CFPs Think Everyone Should be a FiduciaryFinancial planning is attracting younger advisors, according to survey.No Comments
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August 28, 2017New Form ADV Might Prove Tricky for Some RIAsThe SEC’s changes to the form may require some RIAs to invest in new tools to get ready for the October deadline.No Comments
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August 28, 2017SEC Freezes Former LPL Broker’s AssetsRegulator says broker bilked clients out of $2.8 million.No Comments
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August 25, 2017Allstate Sues Ameriprise Alleging Client Data TheftBrokerage allegedly encouraged reps to download client data and lie about it to Allstate.Last Comment: August 25, 2017
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August 25, 2017IRA Rollovers Are No ‘Slam Dunk’ Under DOL RuleNew fiduciary guidelines call for ‘prudent’ review of all client options.Last Comment: August 28, 2017
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August 25, 2017Ex-Edward Jones FA Sues Firm Over Fake Sex AdsSuit over alleged “smear campaign” is also aimed to two former colleagues.Last Comment: August 30, 2017
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August 24, 2017FAs Want More Info on CFP Board Fiduciary ProposalFiduciary proponents want more clarity, opponents remain mum.No Comments
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August 24, 2017DOL Foe Demands Injunction Against Arbitration BanFirm wants more than the DOL’s recent non-enforcement stance on the arb ban. DOL hints it may comply.No Comments
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August 24, 2017Morgan Stanley Slapped with $500K FineWirehouse allegedly mishandled client trades in preferred securities.No Comments
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