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Two brothers working for Merrill Lynch, where they had overseen $620 million in client assets before making the move, join the rival wirehouse.
June 24
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Compliance experts Brian Hamburger and Robert Molinari offer up best practices for preparing for SEC and FINRA audits.
June 24 -
The fiduciary rule proposed by the Labor Department this spring is taking up most of the spotlight.
June 24 -
Two recruits joined the regional brokerage from rivals Merrill Lynch and Wye Financial & Trust.
June 24 -
Independent financial advisors list the advantages they have found tailoring fee structures to their and their clients' liking.
June 24
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Bad retirement advice forced a woman to take a job earning little more than minimum wage to make ends meet, her lawyer says.
June 23 -
The new digital platform will cost 10 basis points for advisors who have less than $100 million in AUM under custody with Schwab, but advisors who have more under custody won't be charged a fee.
June 23 -
The commission ups its scrutiny of retirement-focused advisors and broker-dealers as elder fraud skyrockets, securities lawyer says.
June 23 -
Brian Ourand, former president of SFX Financial Advisory, stole $670,000 from clients, the SEC alleges; his former CCO and SFX agree to pay fines to the SEC.
June 23 -
The bank's U.S. brokerage unit which focuses on ultrahigh-net-worth clients snags a new branch manager.
June 23
