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October 5, 2020

Ex-FA Faces Up to 20 Years in Prison for Fleecing Clients Out of $3.7M
Gerald Eaton is facing up to 20 years in prison for moving money out of his clients’ accounts into his own and forging their signatures.
Lawyers Who Got $79M Deferred Comp Deal for Wells FAs Target Other Firms
The lawyers are evaluating the legality of other deferred compensation plans, particularly those that require FAs to forfeit deferred compensation when they exit their firms.
UBS Changes Advisory Fee Calculation to Provide More Transparency
The wirehouse is now calculating fees based on an average daily balance, rather than on a quarterly basis.
Finra Bars Broker Under Investigation for Excessive Trading
Alec Franks allegedly refused to cooperate with Finra’s investigation into allegations of excessive trading and outside business activities.
Voya Cuts Fees on Vanguard Portfolios in Robo Offering
The company has kept fees the same on iShares portfolios, the other series of ETFs available on Voya Digital Adviser.
CFP Board Unveils Governance Changes
Planned changes include formalizing processes to ensure better selection of candidates to the board as well as expanding the scope of several committees.
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