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The hefty FINRA award might not deter firms from poaching difficult-to-find talent.

The wirehouse and its attorney “manipulated the arbitrator selection process” and “introduced perjured testimony,” according to the ruling.

Not only that, but they're lagging the markets in many cases.

An analysis commissioned by BNY Mellon Investment Management, found the industry “overwhelmingly targets men.”

Pat Lawler is a former policy director of the Federal Housing Finance Agency.

Jim Lockhart is a former director of the Federal Housing Finance Agency.

This elite group of young regional employee representatives collectively generate more than $87 million in annual revenue.

The 15-year veteran discusses how she built a massive practice and what this year’s class of award-winning brokers says about the industry.

Interest in ESG the desire for personalized investments make these accounts more and more attractive.

Lily Styrmoe CFP®, CSRIC™ is an advisor with TCI Wealth Advisors passionate about aligning financial goals and values to protect the environment for future generations. She is an industry recognized leader in sustainable, responsible and impact investing. To learn more, visit, tciwealth.co/sustainability.