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June 29, 2018

Finra Bars Broker over Unsuitable Recommendations to Seniors
Ex-broker allegedly concentrated clients in non-traded real estate investment trusts and structured notes.
M&A Veterans Dish Advice to RIA Owners Selling their Practices
Advisors reveal the keys to ensuring RIAs have a smooth sale of their practices.
Commonwealth Replaces President and COO with Ex-LPL Exec
Kloman is taking on the roles of Rich Hunter, who will move to another position by the end of the year, the firm says.
FAs: Poor ESG Compliance Info Impediment to Recommendations
ESG firms don’t provide adequate information, and analytics firms fail to fill the gap, advisors say.
Request Client Feedback on Staff Performance for Fine Tuning
Clients can often provide surprising — and useful — information about the service they’re receiving.

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