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October 6, 2017

Why a Longtime Wirehouse Exec Broke Away... Sort Of
Ex-Wells Fargo FiNet director explains why he joined an indie firm he’s been watching from afar for years.
How the SEC is Dealing With Critical SCOTUS Hamstring
Lawyers believe a new five-year limit on disgorgement won’t stop SEC from penalizing bad brokers.
JPMorgan Loses $500M Advisor Team to HighTower
The lead advisor had been with the firm almost a decade.
Janney’s Private Client Group Attracts $2.2B in Q3
Firm continues expansion of the unit, also adding two new branches in Florida and Tennessee.
Don’t Assume You Know Everything
Double-check with your client’s tax and legal professionals when making plans.

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