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August 11, 2017

FAs and Investors at Odds in DOL Rule Comments
Industry stakeholders want delay or repeal while investors beg for protection.
SEC Targets AUM-Faking, Athlete-Swindling Advisors
One advisor allegedly claimed $580 million AUM without having any clients.
Ex-Merrill Lynch Advisors Launch Indie on Dynasty
Veteran advisors had managed $250 million at Merrill Lynch
Ameriprise Nabs $360M Duo from Edward Jones
One of the advisors had been with the firm for his entire 34-year career.
Show Empathy to Your Staff, Not Just Your Clients
Managing your business begins with respecting your team.

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