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May 7, 2018

JPMorgan, Morgan Stanley to Revisit DOL Rule Changes
The two firms have signaled they’ll review changes they implemented in preparation for DOL fiduciary rule.
Like It or Not, Crowdfunding is Becoming a Real Thing – and Clients Want it
For some it’s late-cycle speculation; for others it’s another alternative that calls for careful vetting.
How Morgan Stanley’s Gorman Overhauled Wealth Management to Help the Whole Organization
The CEO bet on wealth management from the start of his tenure.
Fidelity Sues Former Rep's New RIA
The firm insists the rep took client data.
A Morgan Stanley Complex Manager Has Bolted
Exec had recently been mentioned in a racial discrimination lawsuit.
Bad Broker's Assistant Barred For Fund Misappropriation
She had worked for an investment advisor charged by the SEC for stealing $378,000.

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