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August 24, 2017

Morgan Stanley Slapped with $500K Fine
Wirehouse allegedly mishandled client trades in preferred securities.
DOL Foe Demands Injunction Against Arbitration Ban
Firm wants more than the DOL’s recent non-enforcement stance on the arb ban. DOL hints it may comply.
The Fatal Flaw in Many Client Communication Strategies
Provide more relevant messages, more personal touches — and quit it with the golf talk.
FAs Want More Info on CFP Board Fiduciary Proposal
Fiduciary proponents want more clarity, opponents remain mum.
Clients Need a True Picture of Risk in a Bull Market
FAs need to manage investor expectations and earn trust in a bull market.