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Some of the proposed exemptions could be so expansively interpreted that they permit the egregious conduct that bona fide fiduciary standards are designed to constrain.
April 15
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The wirehouse reported that wealth management first quarter profits soared 18% year-over-year.
April 14
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Multifamily office CEO Joe Votava cites work conflicts and family issues in his decision, while critic suggests the Camarda lawsuit is driving off leaders.
April 14 -
The wirehouse recruited three advisors from rivals Merrill Lynch and UBS.
April 13
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A Charles Schwab advisor left the firm where he managed about $350 million in client assets, according to a firm spokesman.
April 13 -
The firm says they "are pleased to welcome" Thomas Buck and his team.
April 10 -
The proposed consolidated database would bring together BrokerCheck and IAPD and include data on unregistered financial professionals across the industry.
April 10
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The fast evolution of technology has many industry leaders trying to figure out whether robo advisors are a threat, a tool or something else entirely.
April 10 -
The two advisors move between the super regionals.
April 10
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Overall client satisfaction with investment firms held steady, but the J.D. Power report identified at least one missed opportunity for advisors.
April 9
