August 24, 2020
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Featured News
What will Morgan Stanley’s James Gorman do with ETrade’s custody business?
The brokerage's Advisor Services won’t be an open doorway for Morgan Stanley’s 16,000 advisers to become independent RIAs — at least not yet
Advisers get political — and confrontational — on Twitter
The rewards of striking political points outweigh the risks of alienating clients for many of the most vocal advisers
Merrill Lynch releases adviser diversity data
Andy Sieg reports thundering herd's adviser pool includes 21% women and 23% ethnically diverse professionals
Phony Philly adviser latest snagged for unregistered securities
Dean Vagnozzi sold millions in unregistered securities to clients who weren't wealthy enough to buy them. Why did the SEC take so long to drop the hammer on him?
SEC share-class crackdown could spell the end for 12b-1 fees
The latest case has some experts wondering if any level of disclosure will suffice
