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March 29, 2019
Wells Fargo CEO Tim Sloan Steps Down
Allen Parker will serve as interim CEO and president while Wells Fargo looks for Sloan’s replacement outside the firm.
E*Trade Slaps Morgan Stanley Breakaways with Injunctions
Three employees have been accused of illegally taking client information or trade secrets.
LPL Breakaway Says its Equity Offering is Attracting Advisors to the Firm
CEO says there’s more demand for IFP stock than transition cash.
Ex-Vanguard Broker Fired for Watching YouTube Loses Finra Arbitration
Broker failed to show up for hearings for the expungement claim that he himself filed.
JPMorgan to Lay Off Hundreds in Asset and Wealth Management
But the firm says it intends to continue hiring advisors.
Cuso Financial Hit with $500K Suit
The claim is tied to a former Cuso financial advisor accused of selling away.
SigFig Rolls Out Digital Advice Platform for Retail Banks
SigFig Atlas will offer robo-advice as well as recommend banking products.
|The Client - Finding and winning new clients||The Client - Client retention|
|The Client - ERISA plans/institutional management||The Client - Behavioral finance|