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As the shift to fee-based accounts roils the industry, forward-thinking firms are revisiting how they pay employees while also making work more enjoyable. By Charles Paikert
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Former CEO Mark Casady disclosed in arbitration testimony what led to the firing that resulted in a $30 million claim against the firm.
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Confidential emails reveal a top Wells Fargo advisor’s despair after he cried fraud. He could stay at Wells if he was silent, but spoke up anyway — and became a whistleblower.
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The independent broker-dealers born during this fraught year have thrived. Now, however, their role in creating today’s independent advisor threatens their ability to survive another half-century.
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Every advisor's route is different but one thing is certain — turbulence.
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Financial advisors are seeking technology tools that help them deliver deeper insights and better advice. Results of Financial Planning’s survey shows them where to look.
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This interactive tool challenges conventional wisdom about planning for retirement and offers a smart and streamlined way to plan for your future.
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Help them understand distinctive features, especially pricing and leverage.
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From housing illiquid assets to relatively low cost of leverage, CEFs have a more varied repertoire than many realize.
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This is how the firm tried to make sure no one knew.