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Female advisors from Raymond James' Private Client Group got a mix of planning tips, technology tricks, strategic advice and female empowerment.
October 14 -
Aequitas Capital is hoping to woo advisors with an unusual but potentially potent pitch: its expertise in alternative investments.
October 14 -
From stolen cell phones to email scammers and hackers, advisors face numerous threats to the security of sensitive client data. Here are a few simple ways advisors can avoid getting hacked.
October 10 -
A Morgan Stanley advisor duo with $213 million in AUM has left the wirehouse to join RBC Wealth Management.
October 10 -
A former UBS broker was ordered to pay back the wirehouse $1.75 million of his recruiting bonus the third such million-dollar judgment against him this year.
October 9 -
When it comes to compliance, do-it-yourselfers must build policies and procedures that can protect the firm. But as practices grow, seeking outside assistance may be necessary.
October 9
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CFP Board drops investigation into activist planner after he drops CFP certification.
October 9 -
FINRA barred a Chicago-based broker after it was discovered he transferred over $1 million from client accounts into his own over a number of years.
October 8 -
Deutsche Asset & Wealth Management hired a new regional executive from J.P. Morgan.
October 8 -
Deutsche Bank AG, the German lender that has pledged to improve controls after criticism from regulators, hired Elizabeth J. Ford from Goldman Sachs Group Inc. as head of compliance for the Americas.
October 8
