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The wirehouse, which is embracing the new regulation, is the first to unveil its strategy in depth.

Firms should consider focusing on nuts-and-bolts issues like marketing and suitability of products if they want to avoid being the subject of FINRA disciplinary actions.

Advisers sound off on the most difficult challenges their clients have handed them.

Hal Shillingstad is one of the founding shareholders of the Minneapolis Office. He has extensive experience in single plaintiff and collective actions involving employment law, commercial litigation, products liability and mass tort litigation nationwide.

Robert Tricarico worked for five firms and had 16 FINRA disclosures over 20 years.

Cam Roberson is the Director of the Reseller Channel for Beachhead Solutions, a company that designs cloud-managed mobile device security tools.

The new recruits join from RBC and Wells Fargo Advisors.

Trio separates from mega-RIA Arnerich Massena to form new firm using tru Independence.

Mehrman has a broad employment law practice and routinely counsels clients on a myriad of employment issues, conducts management training, drafts and reviews employment agreements, and litigates employment cases in state and federal court and administrative agencies throughout the country.

The long-serving executive will step down Jan. 1.