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March 13, 2018

In Wirehouse Fights with Breakaways, Posturing Holds Sway
Hard-fought settlements can include payments to firms in exchange for client accounts.
Ex-Morgan Stanley Advisors Move Past Restraining Orders
Two advisors who faced temporary restraining orders from the wirehouse are working at new firms.
Redefining “Advisor” Could Mesh with DOL’s Fiduciary Rule
But others think regulators are more interested in advisors' actions than their words.
Voya Pays $3.6 Million Over Alleged Conflicts of Interest
Case involves two subsidiaries that allegedly didn’t disclose securities lending agreements.
Fiduciary Group Takes Aim at CFP Board’s Proposed Standards
Institute for the Fiduciary Standard thinks new disclosure could lead to deception.