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The bank's retail brokerage business sold customers shares in mutual funds with front- or back-end sales charges when they were eligible for Class A shares that waived the upfront sales load, FINRA claimed.
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Ben Eubanks is the Principal Analyst at
Lighthouse Research & Advisory , a firm focused on cutting-edge research and competitive practices in talent, technology and innovation. Prior to joining Lighthouse, he worked as a practitioner for nearly 10 years, culminating in a role leading HR at an Inc. 500-rated global technology startup. He also hosts “We're Only Human,” a podcast dedicated to exploring the intersection of people and technology in the workplace. This column first ran on Lighthouse Research & Advisory’s blog page.December 6 -
Integration, scalability and service model are key to selecting a vendor.
December 6 -
Meet the best of the best in the bank channel. Read about how they approach their jobs, how they serve clients and how they made the list.
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The top advisor this year, Brock Kidd from Pinnacle Bank, focuses on well-heeled clients and many of Nashville’s high-profile musicians.
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Here we conclude with the fourth and final segment of the Top 100 Bank Advisors. You can see all the other rankings (1-75) in our corresponding slideshows.
December 6 -
Here we present the third segment of the Top 100 Bank Advisors. You can see the top 50, as well as those who ranked 76-100, in our corresponding slideshows.
December 6 -
Here is the second segment of the Top 100 Bank Advisors. Check out the top 25, as well as those who ranked 51-100, in separate slideshows.
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A well-rounded approach wins the day with the annual advisor ranking. No one-trick ponies allowed, as multiple metrics count toward advisors' scores, including AUM, production, growth and fee business.
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Denee Choice, MD, is vice president and medical director for physical medicine services at American Specialty Health.
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