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January 5, 2018

Finra Refuses to Get Embroiled in ‘Who-Owns-the-Customer’ Debate
Watchdog says closest related rule is SEC’s Regulation S-P, cited by broker-dealer firms in lawsuits versus former advisors.
Court Rules Against Ex-Merrill Manager’s Bias Appeal
Appeals court panel rejects complaints about judicial bias in claim of anti-Mormon bias at the wirehouse.
Raymond James Nabs $300M Merrill Lynch Team
Separately, Qualified Plan Advisors acquires $4 billion retirement practice.
Finra Clears Up Senior Exploitation Rule Concerns
Advice firms have leeway blocking disbursements and seeking trusted-contact information.
Being Right Is Different from Getting It Right
Even if we think we have the perfect solution it won’t work unless the client feels good about it.

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