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Fiduciary advocates lament the absence of the term from the SEC's rule, which they say fails to move beyond FINRA’s existing suitability standard, while the brokerage sector sees the proposal as a welcome jump in oversight.
June 15
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The move is an early indication of how firms may react to the demise of the Labor Department regulation.
June 15
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Wealth Enhancement Group has nearly doubled its assets over a two-year period.
June 15
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Affluent clients have "a fairly low awareness of fees," according to new report.
June 14
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The firm aligned its brokerage business with Private Client Services following a big acquisition and a major executive hiring.
June 14
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The advisor told the client that she could pre-pay her advisory account fees at a discount by writing him a $7,400 check, FINRA claimed.
June 14
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Other states are likely to enter similar agreements with the broker-dealer.
June 13
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Advisor exodus from beleaguered firm shows no sign of abating in 2018
June 13
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Passive funds attracting record assets, but Morningstar analyst warns advisors to take a close look.
June 13
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The former J.P. Morgan wealth executive will replace Don Heberle, who left his post at the end of March.
June 12
