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February 2, 2018

Besieged Ex-Morgan Stanley FA: You Encouraged Me, Now You're Suing Me for It?!
Advisor's legal response claims despite wirehouse's handwringing over alleged conduct, the firm condoned and encouraged certain practices for years.
Ex-Morgan Stanley FAs Plead Guilty to Fund Misuse
Separately, Morgan Stanley faces a lawsuit alleging discrimination against black employees.
Online Retail Giant Threatens Advisors With Robo-Advisor Launch
Overstock is offering risk-matched portfolios for $9.95 per month.
Finra Warns FAs: If You’ve Worked with Bad Apples, We’re Also Looking At You
Industry’s self-regulator is digging past quantitative metrics to spot high-risk brokers.
UBS Loses $200M Advisor to Raymond James
Meanwhile, LPL expects to onboard 62% of FAs from the National Planning Holdings acquisition.
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