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March 21, 2017

Job Ad Says Goldman is Designing a Robo
New gizmo seems to be a centerpiece of GS’ mass-affluent table setting.
Principles, Not Regulation, Should Steer FAs
Principles can be ambiguous, but can also best serve clients’ interests.
FA Gets Seven Years for $21 Million Ponzi Scheme
Some victims told the court how he took everything they had.
Advisor vs. Firm: If You Switch, Where Do Clients Go?
When you move, clients might not act the way you expect.
Will the DOL Rule Make You Jump Ship?

Though the timing and long-term fate of the Department of Labor's Conflict of Interest Rule is uncertain, is the rule coloring your employment plans? Do you plan to sell your practice or join another firm as a direct result of the DOL rule?