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April 13, 2017

JPMorgan Halts Action as DOL Weighs Fiduciary Rule
Firm delays moving certain clients to self-directed platform.
Morgan Stanley Fined $1M Over FA Sales Contest
Settlement involves contest for reps pushing securities-backed loans on wealth management clients.
Training and Succession Planning Needs an Overhaul
How are FAs reinventing themselves and finding recruits as advisors get older and prospects get younger?
Seriously, What’s Going on at HighTower?
Breakaway firm is losing executives and trying to bulk-buy an old aggregator.
LPL Gets Literal About Conflicts of Interest
Firm tells affiliates to stop claiming they’re conflict free.