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March 27, 2018

Whistleblower Accuses Securities Watchdogs of Failing to Protect Data
A complaint has been registered with SEC alleging personal information was mishandled by state and self-regulators.
FAs Warned: Stay Out of Harm’s Way
Are you unknowingly breaching your duty of care?
Ex-Brokers Ordered to Pay Clients $845,000
But award may be hard to collect: One former broker faces a year in jail, the other is driving for Uber.
Ex-LPL Rep Barred After Firing Over Unauthorized Trading Allegations
In a separate case, Finra bars a former Fortune Financial advisor for failure to provide documents connected to fraud charges.
Why Insurance-Owned IBDs Will Still Be Big Players in Advice Market
Those that rely too much on proprietary products will struggle but those that don’t could be poised to succeed.
Many Pre-Retirees Are Too Aggressive with Investing
Study finds some are putting their investments at too much risk despite worrying about market losses.