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April 11, 2018

Dynasty Boss Slams Wirehouses for Leading by Fear
Says broker protocol exits help advisors realize the importance of freedom.
Wells Fargo’s Former Wealth Chief Defends Unit
Carroll retired last year and insists he stands by the wealth unit’s track record.
LPL Offers Lucrative Deal to Reps at Securities America, Kestra and Cetera
The company is offering 50 basis points and a 93% payout for five years to reps joining LPL’s RIA.
RIAs Have Trouble Offering Alternatives to HNW Clients
Tax reporting, disclosures and appearance of double-dipping on fees are top concerns.
Finra Bars Broker Fired Over Allegations of Unsuitable Trading
Veteran advisor declined to appear for testimony.
Why the Breakaway Broker is an Overplayed Story
There isn't as much movement as the media would have you believe, insists this 20-year-old breakaway.  Video [ 3:43 ]   Transcript