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Today's Headlines

Don't Get Too Comfy ... Big Surprises Could be in Store in SEC’s Reg BI, Compliance Specialist Warns
A consumer advocate is waiting for SEC Chairman Jay Clayton to stand up to the broker-dealer industry.
Merrill Lynch's $100 Million Stock Loss Suit is Thrown Out
Finra panel rules that the plaintiff waited too long to file a claim.
SEC Bars Investment Advisor Over Alleged $1 Million Misappropriation
He allegedly didn’t invest client funds as promised and falsified account statements to cover his alleged fraud.
JPMorgan Advisor Launches Indie Wealth Management Firm
Jackson Square Capital oversees more than $250 million.
Video
In Volatility, Should You Be Protectionist or Opportunistic?
Volatility in the markets is causing advisors to question what to do with client portfolios.  Video [ 2:19 ]   Transcript  
Mercer Advisors Setting up for Eight or More Acquisitions in 2019
The acquisition of Confluence in March sets the firm up for another aggressive year.
LPL Loses FAs Overseeing Over $550M
Several advisors have jumped ship to Ameriprise and Commonwealth.
Fleming’s Rockefeller Continues Poaching Execs
Latest recruit will oversee financial advisors in Washington, D.C. and Rockefeller’s first office in Philadelphia.

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