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The broker misappropriated his clients’ investment money for rent, credit card bills and other personal uses, investigators say.

Gordon is a principal analyst at Forrester Research. He serves CIOs, focusing on the best practices for business, technology, and enterprise architecture transformation. He is a recognized expert in helping companies use enterprise architecture, strategy, governance, and organizational design to address their current and future business challenges in the age of the customer.

Gordon came to Forrester with more than 35 years of business and technology management experience in financial services, telecommunications, information technology, and governmental organizations. Prior to Forrester, Gordon served in various roles including CIO, CTO, chief architect, and business unit general manager.

Gordon has a Ph.D. in business administration (specializing in consumer behavior in eCommerce) from Northcentral University; an MBA from Huron University; an M.A. in finance (specializing in M&A) from London Business School; and a B.A. (first-class honors) from Kingston University in the UK. Gordon is also an ACCA accountant.

Dan Arnold received a 155% raise in his first year atop the nation’s largest independent broker-dealer.

Barry Snyder’s complaint depicts him as a victim of federal investigators and the bank, with both sides threatening to turn on him.

Dean Hoover is the latest advisor to join the Raymond James-affiliated independent firm.

Dr. Gregory Kasten, MD, MBA, AIFA, CFP, has more than 30 years of experience with behavioral finance and serves as founder and CEO of Unified Trust Company.

Corey Stone, a former payments executive and Consumer Financial Protection Bureau assistant director, is board chair of Connex, a credit union in Connecticut. He is also a senior advisor to the Financial Health Network and to Oliver Wyman.

Planners are seeking the independence and support that they say they aren’t getting at wirehouses.

Before making any changes to the compensation plan, find out what your partners value most. You may be surprised how agreeable they are.

Aviv Grafi is CEO of Votiro.