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The manager, who left Raymond James after only two years, also had logged in more than two decades at Morgan Stanley and Merrill Lynch.
February 23 -
Brokers' clients received letters from LPL that implied he stole money, over a $20,000 loan he had repaid, lawyer says.
February 23
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Can FlexScore provide a "hand-on-your-shoulder" experience online by focusing on a client's life, rather than investment strategy?
February 22 -
In the latest in a series of cases, an arbitration panel has sided with a client against UBS, ordering the wirehouse to pay nearly $1.5 million in damages related to UBS' sale of Puerto Rican bonds and closed-end funds.
February 22
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The former broker turned consultant to planners was in financial straits, his wife told police.
February 22
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A third-party examination system might be the most practical response to RIA oversight, but questions remain about how advisors will shoulder the costs.
February 22
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The commission wants to dramatically reshape the regulatory environment for investment advice in waning months of President Obama's administration.
February 19 -
The Bank of America unit that serves ultrawealthy clients picked up new recruits from Morgan Stanley and Hirtle Callaghan.
February 19
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The exit comes a month after Cetera filed for bankruptcy, and after the IBD said its having trouble with advisor retention.
February 19 -
Voices: Sometimes intimidating but valuable ways to boost referrals find new prospects and build stronger relationships with current clients.
February 19
FMG Suite
