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September 25, 2017

Fear Looms DOL Rule Will Kill Centers of Influence Deals
Legal experts warn that professional networking revenue could dry up as implementation proceeds.
SEC Charges Former RIA Over Misleading Investors
Former Colorado RIA lost $1 million with risky strategies, regulator says.
Be Wary of “Institutional-Quality” Product Claims
Advisors looking to move between IBDs should do their due diligence on product offerings.
How Wirehouse Recruiting Cuts Affect All Advisors
Even advisors who aren’t planning to move can be affected.
Pre-Retirees Want to Relocate, Regardless of Income
Advisors may have an untapped market of people who need financial advice on relocating.

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