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October 2, 2017

Carson Sees Monolithic Branding as a Key to Growth
Name changes are meant to reduce confusion in a marketplace that’s heating up.
SEC Puts Unregistered Brokers in Crosshairs
Agency’s chief says third-party exams are not a priority, meanwhile.
U.S. Trust Replaces Boss Who Stopped its Advisor Drain
Meantime, Merrill Lynch and Morgan Stanley lose teams to UBS.
Why Most BDs Say They Want to Keep the DOL Rule
But most brokers also want it rolled back in certain areas.
Three Brokers Charged over Churning Client Accounts
One broker agrees to settle for $400,000.