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September 25, 2018

Edward Jones Fights Advisor With Restraining Order
Edward Jones seeks TRO to bar FA from contacting his former clients pending arbitration.
Wells Fargo Loses Reps to Three Important Competitors
Advisors jump ship in Florida and California.
Billion-Dollar Goldman Sachs FA Flees in Surprising Move
Hirschberg partners with Dynasty Financial Partners.
UBS Loses Veteran to This Increasingly Key Rival
The advisor has been in the financial services industry since 1987.
SEC Chair Insists There’s No Deadline for Best Interest
Investors, meanwhile, complain that the proposed rules are confusing.
SEC Enforcement Blows its Own Trumpet Over Digital Coin Initiatives and Self-Reported Fee Violation Amnesty
So far this year the two programs are the division's big success stories.