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July 31, 2020

Morgan Stanley Sued Over Alleged Client Info Breaches
The plaintiffs claim they were offered two years of free credit monitoring services through Experian.
LPL Nets 210 New Advisors in Q2 But Commissions, Fees Per FA Down 13%
The company’s brokerage and advisory assets, meanwhile, have recovered after plunging in the first three months of the year.
Virtual Hiring Results Vary for Raymond James, Stifel, Ameriprise
The new normal in recruiting advisors has been either a success or a burden, depending on which broker-dealer firm is giving its earnings presentation.
SEC Charges Ex-FA with Defrauding First Responders
Victor Lee Farias and his company, Integrity Aviation & Leasing, allegedly diverted more than $11.6 million of investors’ money.
Critics Slam DOL Proposal to Scrutinize ESG Choices in Retirement Plans
The Insured Retirement Institute is among several groups and companies calling on the DOL to withdraw the proposal.
Home Office News: Firms Revisit Revenue Sharing, Grow Robos, Boost Retirement
A roundup of key updates from major industry distributors: Wells Fargo, UBS, Morgan Stanley, Bank of America and Raymond James.
Financial Services Complaints Jump 44% Amid Pandemic
The "increases in the number of complaints really exemplify just how many consumers are dealing with financial mishaps during the coronavirus pandemic," LendEDU says.
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Women to Control Far More Wealth — and FAs Will Need to Adapt
Over the next three to five years, women “will become the critical battleground for wealth management firms,” according to consulting firm McKinsey.
Less is More: Perceptions of What it Takes to be 'Wealthy' Plunge in Pandemic
Ideas about how much net worth a person must have to be "wealthy" fell by 23% between January and June, a recent survey shows.
Fidelity Launches Free Financial Planning App Aimed at Young Investors 
The rollout of Fidelity Spire coincides with Fidelity dropping fees on smaller accounts on its robo-advice platform Fidelity Go.

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