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The firm also scooped up a market manager from Stifel.
January 30
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The wirehouse will make “many” of the pricing and product design changes it planned last year, include lowering commissions for trades involving stocks and ETFs “to the benefit of our clients,” according to an internal memo.
January 27
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The wirehouse also reported record revenue of over $2 billion for the recent quarter.
January 27
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Michael J. Breton admitted to using master accounts from Fidelity and Schwab to take winning investments for himself, while giving clients the losers, the Department of Justice says.
January 26
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For the first time since 2008, a commission will propose long-awaited changes to the Standards of Professional Conduct. Areas under review include code of ethics and planning practice standards.
January 26
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The new recruit generated more than $1 million in annual revenues, according the regional firm.
January 26
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What breakaway brokers and service providers can learn from the collapse of Sanctuary Wealth Services.
January 26
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Modera Wealth reached $2 billion in AUM with its latest RIA acquisition.
January 26
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Regional directors are “sorry to see Doug go," a Cetera adviser says. Tom Taylor, now COO, will take his place.
January 26
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On Wall Street's annual ranking of successful young planners.
January 26
