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Edward Lee Moody used the stolen proceeds to buy a home and travel to Las Vegas among other destinations.

The deal is Captrust's 31st purchase in the past 12 years.

Those with outflows cost clients more than twice as much.

Enforcement actions against IAs and reps at the state level soar in 2017, according to NASAA report.

The relationship disintegrated because of a dispute about where to best place client trades.

Some have piled into utilities and long-duration Treasury hedges, while others bulked up exposure to rate-sensitive banks and a chunk did a bit of both.

It’s the latest sign the SEC is taking seriously complaints that fees for market data are too high.

LPL slammed the move by the exiting major issuer to cut off trails for advisors in certain existing contracts.

There are hundreds of claiming strategies — using the wrong one can have major repercussions.

“High-touch” support, technology and firm culture played a part in career changes for seven advisors.