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The SEC settled charges against Milton Dosal Jr., arguing that he raised nearly $100,000 from about 41 investors claiming he could trade stocks on their behalf despite not being a registered broker.
A Morningstar panel also discussed the firm's concerns over the Labor Department's proposed rules on fiduciary exemptions, stressing the importance of clarity in SEC and DOL enforcement.
The future advisor gives up geography for market niches and focuses less on investment strategies in favor of better client outcomes, according to a panel at this year's virtual Morningstar Investment Conference.