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July 13, 2018

Morgan Stanley Complex Manager Leaves Firm After Harassment Claims Against FAs
Brokers in the Santa Monica and Beverly Hills offices he oversaw have been accused of sexual harassment.
Wirehouse Leavers Say Smaller Firms Make For Better Client Service
Bigger isn’t better when it comes to taking more control of your practice, say those who’ve downsized.
Trump Gives SEC Leeway Over Appointing Judges
President’s order follows June Supreme Court ruling that the SEC’s hiring of administrative law judges was unconstitutional.
Merrill Lynch Has a Tool to Help FAs Meet Fiduciary Duty
Wirehouse wants to help advisors abide by best-interest standard despite death of the DOL’s fiduciary rule.
Sponsored Webcast
How Successful Advisors are Maximizing Practice Growth
Advisors who want to grow their practice must first understand it’s value. This webcast, sponsored by LPL Financial, explains how advisors can learn their practice’s value and find the right ways to maximize it.
Another Wells Fargo Rep Jumps to Raymond James
The recent hire managed around $118 million.
It’s All in the Mind
Clients respond better when advisors frame decisions in terms of what clients have rather than what they’re giving up.

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