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December 12, 2018

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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.

Navigating Headline Risk so Clients Stay the Course Instead of Panicking

Investors may want to bail at the first sign of trouble, but financial advisors who anticipate news events and clearly communicate can avoid the stress of talking their clients off the ledge.

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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

Topics

All Topics

The Client - Finding and winning new clients Morgan Stanley Legal Tussle With Ex-FAs Heats Up ... Again Morgan Stanley Partnership Aims to Help FAs Connect With Customers	The Client - Client retention Morgan Stanley Legal Tussle With Ex-FAs Heats Up ... Again Morgan Stanley Partnership Aims to Help FAs Connect With Customers
The Client - ERISA plans/institutional management Warning to FAs: IRA Rollovers Are in Regulators' Crosshairs DOL Proposes Auto-Portability for 401(k) Plans	The Client - Behavioral finance Navigating Headline Risk so Clients Stay the Course Instead of Panicking Why Are Clients Insisting on Working Beyond Retirement?

The Assets - Portfolio management How Advisors Identify and Diversify Away from Hidden Contagion Risks Amid Trade and Political Worries, Barings Says Diversify Folio Financial Launches Robo for Advisors	The Assets - Insurance planning Congress Pits Insurance Firms Against Mutual Fund Interests Over 401(k) Law Big Broker-Dealer Network Files Annuity Arbitration Claims Against Ohio National
The Assets - Estate planning Estate Plans Don’t Grant Superpowers, But They Do Protect Client Assets FAs Are Making Critical Mistakes in IRAs, Expert Warns	The Assets - Tax planning New Trump Tax Shelter Needs More Detail, Experts Warn

The Practice - Technology Five Big Trends Shaping the Industry Morgan Stanley Partnership Aims to Help FAs Connect With Customers	The Practice - Fees and compensation Ex-Broker Pleads Guilty to Running 18-Year Ponzi Scheme Former Wells Fargo FA Wins $750K in Compensation Claim Uniform Standard for RIAs and B-Ds Still Possible, SEC Chair Admits
The Practice - Staffing and recruiting Morgan Stanley Legal Tussle With Ex-FAs Heats Up ... Again Ex-Broker Pleads Guilty to Running 18-Year Ponzi Scheme	The Practice - Regulatory/legal issues Morgan Stanley Legal Tussle With Ex-FAs Heats Up ... Again Ex-Broker Pleads Guilty to Running 18-Year Ponzi Scheme

1	UBS Loses $2.2 Billion Wealth Advisory Team to Fast-Growing High-End Rival
2	Merrill Lynch’s Comp Plan Contains a Curious Digital Incentive
3	Edward Jones Settles Lawsuit Against Fired Advisor
4	UBS Reverses Course on Non-Solicit Clause and Bonuses
5	Blanket Ban on Brokers Using Advisor/Adviser Title Isn't Justified, Some RIAs Say

1	Merrill Lynch’s Comp Plan Contains a Curious Digital Incentive
2	Wells Fargo’s 2019 Comp Plan to Be Mostly Unchanged
3	Edward Jones Settles Lawsuit Against Fired Advisor
4	UBS Loses $2.2 Billion Wealth Advisory Team to Fast-Growing High-End Rival
5	Blanket Ban on Brokers Using Advisor/Adviser Title Isn't Justified, Some RIAs Say

1	Merrill Lynch’s Comp Plan Contains a Curious Digital Incentive
2	UBS Reverses Course on Non-Solicit Clause and Bonuses
3	Former Wells Fargo FA Wins $750K in Compensation Claim
4	UBS Loses $2.2 Billion Wealth Advisory Team to Fast-Growing High-End Rival
5	Finra Reveals Broker-Dealer Suitability Fails

S	M	T	W	T	F	S






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December 12, 2018

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