Andrew Welsch is a former managing editor of Financial Planning.
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The new recruits joined from Merrill Lynch and Morgan Stanley.
December 13 -
The team accused the firm of preventing them from properly conducting business with their clients, a charge that a FINRA arbitration panel rejected.
December 12 -
The regional firm's new hires generated $2.2 million in annual revenues, according to RBC.
December 12 -
The new recruit generated $1 million in annual revenue.
December 9 -
Exclusive: The regional firm picked up two groups of recruits from Wells Fargo and Merrill Lynch.
December 8 -
Further shifts in broker pay could be possible as the industry moves to comply with the fiduciary rule and the Department of Labor issues new guidance.
December 7 -
Arbitrators also rejected the former adviser's counterclaims for $51 million in damages.
December 6 -
President Dan Arnold will be tasked with managing the rollout of new digital technologies and implementing the fiduciary rule.
December 5 -
The president and former CFO will step up at a critical time for the nation’s largest IBD amid competitive threats and pressure to boost its stock price.
December 5 -
The number of hurdles will stay the same under the 2017 plan, a source familiar with the matter says.
December 2
