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June 8, 2018

Embattled Ex-CEO Pledges He’ll Fight SEC Fraud Charges
The SEC alleges the former CEO of deVere USA defrauded hundreds of clients and prospective clients.
Wells Fargo Forced to Pay $96,000 Bonus it Disputed
But the wirehouse is off the hook for claimed damages associated with the dispute.
Oppenheimer & Co. Forks Over $800k to Client for Unauthorized Trades
The client wanted over $3.5 million in punitive and exemplary damages.
Done with DOL Rule, Lobbyists Take Aim at SEC Best-Interest Proposal
NAIFA is targeting watchdog’s bid to limit who can call themselves an advisor.
How to Be There for Clients with Mental Illness
Learning about a client's mental illness can help you be patient with them during tough times.