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The regulator was looking into allegations that he structured transactions in his personal bank account to avoid federal reporting requirements.
December 12
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The regional firm's new hires generated $2.2 million in annual revenues, according to RBC.
December 12
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The new recruit generated $1 million in annual revenue.
December 9
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Exclusive: The regional firm picked up two groups of recruits from Wells Fargo and Merrill Lynch.
December 8
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The advisers are the first to obtain startup capital from the firm.
December 7
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Stephens recruited an executive with more than 30 years experience, whose career includes stops at Wells Fargo, Credit Suisse, Lehman Brothers, PaineWebber and Merrill Lynch.
December 7
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The advisers had about $1.5 million in annual revenues when they were at the wirehouse, according to the regional firm.
December 6
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Casady provides both consistency and a fresh approach, leaders of the firm's OSJs say.
December 5
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President Dan Arnold will be tasked with managing the rollout of new digital technologies and implementing the fiduciary rule.
December 5
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The firm’s latest recruit has 16 years of industry experience.
December 5
