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April 12, 2017

JPMorgan Offers $5.7M for Underpaying FA Overtime
More than a thousand advisors led a class action against the firm.
Finra Complaint Expungements Are Getting Wordier
Arbitrators respond to Finra’s call for more detail on why beefs get removed.
Veteran Advisor is Unapologetically Old School
FA keeps it traditional because that’s the way his clients and prospects like it.
NBA Star Turns Team Player For High-Profile Clients
Ex-Portland Blazers player turned FA shares tips on servicing high-profile clients.
FAs Achieve Fiduciary Role Even as DOL Hits Pause
What are advisors doing now that the Department of Labor has delayed its fiduciary rule?  Video [ 4:27 ]   Transcript