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"My expectation is that a lot of firms are going to continue installing a best-interest standard, regardless," said Brian Graff, CEO of the American Retirement Association.
February 3 -
Black employees at the firm say lucrative client accounts were often steered toward financial advisers who weren’t black.
January 3 -
William Heinzerling, who has led Stifel’s fixed-income business since 2009, is leaving the firm, according to people with knowledge of the matter.
June 8 -
Deutsche Bank plans to sell its U.S. private-client brokerage unit, according to people briefed on the matter.
October 15 -
Small investors will be forced to leave the brokerage firms, Ron Kruszewski says, adding that the plan will increase costs and reduce choices for the smallest investors."
June 9 -
Barclays may fetch $150 million to $250 million for its U.S. wealth unit, according to analysts at Credit Suisse Group.
June 1
