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May 23, 2018

SEC Chair: Government Should Not Drive Away the Broker-Dealer Model
Clayton says BD transaction-based relationship is more economical for many people.
SEC Chair Open to Review of BrokerCheck
Finra CEO admits BrokerCheck is a “hotly debated issue.”
Finra Panel Orders Net FA $267,225
Arbitration panel dismissed some of the broker’s claims and ordered him to pay some damages.
How Advisors Can Use Artificial Intelligence
Failure to keep up with advances in AI could cause FAs to lose out.
Pope Francis Supports Fiduciary Standard for FAs
In a bulletin issued by the Vatican, the pope slams practices such as churning and conflicts of interest.
Video
Why We Left Wells Fargo to Join Another Network
Longtime wirehouse advisors explain rationale for breaking away.  Video [ 5:50 ]   Transcript  

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