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As lure, the firm deploys a $52 million technology platform that is the “best that I've seen.”’
February 8
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Although it represents a big industry shift, it's not the end of the world, says former UBS advisor turned RIA owner Greg Hersch.
February 8
- Finance and investment-related court cases
The barred advisor and his brother defrauded a widow as part of a real estate investment scheme, according to federal prosecutors.
February 8
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The regulator proposed rule changes that will make it considerably more difficult for advisors to erase customer complaints from their disciplinary records.
February 8
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Commission prioritizes retail investors as OCIE issues its must-read compliance letter.
February 8
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In the latest clash after Morgan Stanley's exit from the Broker Protocol, the firm notched a win as the case heads to FINRA arbitration.
February 8
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The bank's foray into personal financial-management software follows other online lenders.
February 8
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Investors are advised to liquidate some assets or transfer them to certificates of deposit and money market funds.
February 7
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After a number of websites and mobile apps were disrupted in Monday’s market plunge, executives call for an industrywide technology overhaul.
February 7
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Advisors need to be aware of how the new tax law will affect high-net-worth clients across the country.
February 7
