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Industry experts say there's theoretically no reason why firms can't keep getting bigger through recruiting deals. But a lack of good M&A prospects could make growth harder for LPL and other independent broker-dealers.
June 10
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Laura Sullivan stands accused of accessing confidential customer data and violating a nonsolicitation agreement by bringing along at least 15 client households.
June 9
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A softening stance from the Trump administration could lead to a rise in the availability of cryptocurrency investments in 401(k)s. While some plan sponsors are considering crypto, they emphasize that investor demand will play a significant role in their decisions.
June 9
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Wealth.com has built a client roster of more than 1,000 wealth management firms and several big-name backers. Now it's launching a yearly industry event.
June 9
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By far the most significant factor behind the jump in this month's Financial Advisor Confidence Outlook (FACO) was the outlook for the overall economy.
June 6
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Finding the right time to launch a registered investment advisory firm and the importance of building lasting client connections all play into advisor success.
June 6
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LPL Financial also pulls an advisory team from RBC, and Cetera hires a chief fiduciary officer for its trust subsidiary.
June 6
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Retired investor Tracy Driver alleges he was encouraged to put millions into a now delisted media company and then lost more through unauthorized sales of "prized" shares in Nvidia, Microsoft and Alphabet.
June 5
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Randy Anderson worked as a broker for nearly 25 years without a complaint before being accused of making unauthorized trades by a client who, his lawyer says, actually ended up saving money.
June 5
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Jane Buffett claimed in a court filing Tuesday that she's been told by her co-trustee that she's to receive less than $2 million annually,
June 5
