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Succession is not something you figure out at the end of the journey; it is never too early to have a plan as it is an essential part of client service.
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.
