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June 13, 2018

Advisors to Lobby Washington on Priority Regulatory, Tax Issues
Congressional focus on topics that impact advisors has shifted in the Trump administration.
JPMorgan Settles Retaliation Claims with Former Wealth Manager
Both firm and advisor remain mum on details of settlement of a case alleging unlawful firing.
New York Advisor Charged for Role in Alleged $5M Ponzi Scheme
Advisor allegedly also stole money from the estates of two deceased customers.
Regulator Presses Scottrade Prosecution
Massachusetts’ top securities cop files brief arguing for the case to be heard in state, not federal, court.
Peace of Mind and Happiness Trump Your Clients' Material Wealth Goals
But the pursuit of affluence also carries emotional costs, such as feelings of regret about not spending enough time with family.
Providing a True Client-Focused Service
Integrating commitment, integrity and results is key.  Video [ 5:15 ]   Transcript  
ThinkTank: Latest Published Content