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December 12, 2018

Morgan Stanley Legal Tussle With Ex-FAs Heats Up ... Again
The firm initiated the lawsuit when six brokers left the wirehouse for Stifel.
Morgan Stanley Partnership Aims to Help FAs Connect With Customers
The AI platform aims to deliver a better customer experience via integrating advisor interaction components.
Former Wells Fargo FA Wins $750K in Compensation Claim
The award is three times the compensatory damages originally sought.
Uniform Standard for RIAs and B-Ds Still Possible, SEC Chair Admits
But even RIAs can get around the fiduciary standard, Jay Clayton said in front of Congressional committee.
Ex-Broker Pleads Guilty to Running 18-Year Ponzi Scheme
Ha apparently caused more than $9 million in losses to elderly victims.
Video
Five Big Trends Shaping the Industry
Hint: Technology is a big one.  Video [ 7:06 ]   Transcript  

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