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June 12, 2019

Morgan Stanley’s Flatlining FA Roster is “By Design,” Says Wealth Unit Head
The wirehouse has been “very good” at retaining assets serviced by exiting FAs, the executive says.
Edward Jones, Charles Schwab, Morgan Stanley Among Most Trusted by Consumers
Customers are using more savings and investment providers than ever and having the customer’s trust is paramount, study says.
Ex-Oppenheimer FA “Reinvents” Himself with LPL Financial
Good Life helped the breakaway advisor find an office location and get operational support.
Merrill Lynch Team Goes for Independence with Sanctuary
The team opted for Sanctuary because of its technology and business solution offerings.
FAs Leave Employee-Owned Firm for Raymond James
Team joins employee channel at new Illinois office location.
Finra Prioritizes Enforcement Based on Harm to Investors
The self-regulator says settlement documents are a useful guide for broker-dealer firms with compliance issues.
Finra is Working on These Improvements to the Arbitration Forum
The SRO's director of dispute resolution talks about data transparency, diversity and unpaid awards.  Video [ 4:28 ]   Transcript  
Millennial LGBTQ2 Clients More Concerned About Finances
Younger members of the LGBTQ2 community are hampered by student debt in particular.