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January 14, 2019

Wells Fargo Lawsuit Defendants Counter Septuagenarian's Elder Abuse Claims
The move also illustrates the trend of big firms trying to keep litigation out of public arenas and in control of industry forums.
Government Shutdown Is Making FAs’ Lives Difficult
The SEC has stopped processing new advisor registrations while some advisors’ clients are asking for help dealing with not getting paid.
Edward Jones Wins Just 11% of Damages Sought Against Departing FA
The company had sought $219,000 but was awarded $24,873 in its claim against a former broker who had left the firm to affiliate with Prospera Financial Services.
Carson Group Sets Stage for 2019 Talent Push with First Addition
The firm plans to onboard new business consulting, risk management, operations, and investment management executives this year.
FAs Need Not Fear Technology Replacing Them — But They’ll Have to Use It to Serve Clients Better
A recent report from the CFP Board suggests clients fully expect technology to be a part of the relationship they have with human advisors.

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