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October 31, 2017

Morgan Stanley’s Exit from Broker Protocol is Stern Warning to Broker-Dealers, Competition
Other broker-dealer firms are expected to follow Morgan Stanley’s lead and drop out of the Protocol for Broker Recruiting.
LPL Hit With Supervisory Failure Sanctions
Company is on the hook for alternative investment sales and a Ponzi scheme by one of its former brokers.
Why PwC Predicts Many FAs Won't Survive the Next 8yrs
But those that are left will oversee a sharp rise in client assets.
Stifel Acquires $4.8B Wealth Management Unit
B.C. Ziegler & Co. has 57 private client advisors.
Poll
With Morgan Stanley Out, Will More Firms Leave the Broker Protocol?

Morgan Stanley has revealed it's pulling out of the Broker Protocol, which protects registered representatives who move from one signatory firm to another. With a major wirehouse ditching the agreement, will others follow? Tell us in the comments section what you think about Morgan Stanley's move.

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