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March 7, 2019
Wells Fargo Will Give FAs Bigger Rewards for a Warm Hand-Off
The idea is to encourage retirees to leave their business with the wirehouse.
Morgan Stanley Faces Yet Another Legal Battle Over This Former Rep
So far 10 other complaints have led to more than $1 million in settlements.
Ex-JPMorgan Broker Accused of Misusing Client Accounts
The rep was barred from the industry for refusing to provide information requested by Finra.
UBS Faces Lawsuit from Fired Broker
The rep was fired in 2017 after he admitted to providing bogus account information and is now in bankruptcy proceedings. He says the firm owes him money.
BB&T Ordered to Pay More than $5.5 Million Over Alleged Overcharges at Acquired Firm
Valley Forge Asset Management allegedly charged commissions 4.5 times higher than other options available to clients.
How Fraudsters Are Targeting Financial Advisors
A compliance expert says scammers are trying to obtain client information from the advisors to steal client money.
|The Client - Finding and winning new clients||The Client - Client retention|
|The Client - ERISA plans/institutional management||The Client - Behavioral finance|