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Voices: The fiduciary rule is not complicated. If you dont want the responsibility of being an advisor, dont call yourself an advisor or imply you are one.
April 6
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Private equity firm gets in advice business as another insurance company gets out.
April 5 -
Recruits from UBS and Morgan Stanley left the wirehouses for the independent side of Wells Fargo.
April 5 -
Three former advisors at the wirehouse accuse Merrill of failing to provide them with adequate support to serve international clients.
April 4 -
Transamerica will be offering smart beta ETFs from BlackRock.
April 4 -
Advisors should focus on key questions to best estimate how much retirement savings a client really needs.
April 4
Life Planning Partners -
The duo oversaw $700M in client assets before joining the wirehouse as part of a unit working with clients from Latin America.
April 4
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The new independent practice shares a co-founder with Palantir, a CIA-backed data-gathering firm.
April 4
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A FINRA arbitration panel sided with UBS, which sought damages for breach of promissory notes.
April 4 -
Massachusetts securities authority goes further than SEC or FINRA in its examination of automated advice.
April 1
