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June 14, 2018

Investors Raise Advisor Fraud Concerns With the SEC
Retail investors ask watchdog about Madoff scandal, skills of financial professionals and suitability versus best interest standards.
Private Equity Drives Wealth Firm M&A Like Never Before
FAs should heed what the ‘smart money’ says.
Morgan Stanley Reveals New Plan to Move Clients To Goals-Based Advice
The wirehouse’s new tech offerings are aimed at helping focus clients on financial goals rather than investment performance.
Clock Runs Out on DOL Appeal to Supreme Court on Fiduciary Rule
Meanwhile, a government watchdog slams the agency on failing to provide records on the roll-back of its best-interest rule.
LPL Settles with Galvin Over $26M Unregistered Securities Fine
Massachusetts deal follows nationwide agreement reached in May, and other states are likely to reach similar deals.
How to Help Clients Through the New Social Security Deficit
Social Security payouts will partially come from reserves for the first time in almost four decades, so advisors may need to talk to clients about alternative retirement income sources.