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July 2, 2018

Morgan Stanley to Pay $3.6M Over Supervisory Failures
The firm allegedly failed to prevent reps misappropriating client funds.
Soothing Clients’ Terror About Health Costs in Retirement
Broaching taboos in short, structured conversations can be a true differentiator.
Wells Fargo Complex Boss Comes Back to the Firm
He spent less than two months at an indie outfit before returning to his old job.
Ex-Morgan Stanley Advisor Gets 20 Months in the Slammer
Cornelius Peterson pleaded guilty in February to fraud and conspiracy related to wind farm investments.
Raymond James Re-Orders Some Its Top Executives
Curtis to head captive-track brokerage private client group; Elwyn to run its IBD.
SEC Seeks Comment on Limiting Whistleblower Awards
Proposed changes would give the regulator discretion on large payouts.

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