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October 9, 2018

Wells Fargo Sued for Breach of Fiduciary Duty in Churning Allegations
One rep racked up almost $600K in commissions.
Broker-Dealers Must Measure and Reward Diversity Goals
These CEOs say they set the tone from the top.
Merrill Lynch Loses Team to Wirehouse Rival
The team oversees around $500 million.
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Why This Merrill Lynch Alum and Family Office Pro is Headed to Rockefeller
The wirehouse veteran will open Rockefeller’s first Florida office.
More Wells Fargo Advisors Reps Jump Ship
Several brokers affiliate with Raymond James, another advisor joins JPMorgan.
Why Voya’s Cybersecurity Breach Settlement is a Cautionary Tale for All Advisors
The company had policies and procedures to thwart cybersecurity attacks but failed.
Watchdogs Want Heightened Supervision for More Broker-Dealers
Vast majority of reps at firms that do have such supervision plans have no complaints reported against the reps.

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