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September 26, 2017

Finra’s Disciplinary Focus is Shifting, Lawyers Warn
Finra says it prioritizes cases where investors are most at risk but some commentators see a different focus.
Morgan Stanley Ordered to Pay $13M Over UIT Sales
Regulator says thousands of clients were told to sell the product prematurely.
Envestnet Acquires FolioDynamix
The deal, valued at $195 million, raises the firm’s platform assets to $2 trillion.
Investors Trust Their FAs, But Want Them to Listen
Survey also finds personal referrals still trump all other avenues of prospecting.
Have You Ever Frozen A Client's Accounts?

Finra have given broker-dealers greater powers to freeze a client's accounts if they suspect financial exploitation of the client. Have you ever frozen a client's accounts because you suspected foul play?

ThinkTank: Latest Published Content