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March 6, 2017

Fidelity’s New Robo Ups Ante for Advisors
Race is on to sign FAs as Riskalyze, BlackRock, UBS ramp up.
SEC’s Piwowar and Scaramucci Slam Fiduciary Rule
Acting head of agency says the rule would enrich lawyers and wouldn’t protect investors.
Securities America to Pay Final $1M Over Ponzi Scheme
Payment last in settlement reached in 2011 in case involving promissory notes sold to unsophisticated investors.
Finra Bars Broker Over Unauthorized Trades
Former K.C. Ward Financial rep allegedly sold almost all of an elderly client’s employer stock without permission.
FAs Can Tell Clients to Take a Page from Warren Buffett
Oracle of Omaha praises long-term, disciplined investing and careful risk management in annual shareholder letter.