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The Arizona-based firm serves as a super OSJ, supporting advisors who work for 13 affiliated credit unions as either employees or independent financial advisors.
October 19
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The bank is testing several trading and investing platforms and will be talking about "what might or might not work," CEO Jamie Dimon said during its third-quarter earnings call.
October 12
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The bank, which has a focus on millennial investors, cited Cetera’s technology tools as a particular attraction.
October 12
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The regulator claimed he sold $2.63 million in equity-indexed annuities without disclosing the business to his employer, U.S. Bancorp Investments.
October 11
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The new platform offers the convenience of a brokerage account without incurring any of the fees that go with it, the companies say.
September 29
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The rep purportedly received an email from the impostor requesting that she sell securities to fund the wire request to a third-party in the United Kingdom.
September 25 -
The broker declined to appear for on-the-record testimony regarding expense reimbursements that SunTrust alleged were not valid expenses, according to FINRA.
September 21
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The broker recommended that a recently retired couple invest $135,000 in a non-investment grade municipal bond intended only for sale to institutional buyers.
September 19 -
Thomas Fickinger managed over 1,350 advisors generating $1.5 billion in revenue in 2016.
September 18
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The firm's latest hires include an industry veteran of nearly four decades of experience.
September 18
