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As many as 30% of accounts are either abandoned or lost because many providers can no longer locate the account holders.
November 29
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A FINRA panel ordered the wirehouse to pay damages to two former clients who invested in Puerto Rican municipal bonds and closed-end funds.
November 29
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Fiduciary rule preparation and new technology lures Integrated Financial Partners.
November 29
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William M. Isaac, former chairman of the Federal Deposit Insurance Corporation and Fifth Third Bancorp, is chairman of Secura/Isaac Group, a global financial services consulting firm. He is the author of "Senseless Panic: How Washington Failed America," with a forward by former Federal Reserve Chairman, Paul A. Volcker.
November 29
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Michael Gaughan is executive director at the Vermont Municipal Bond Bank.
November 29
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The advisers joined the firm's independent and employee channels from rivals such as Morgan Stanley, Wells Fargo and Cetera.
November 29
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Whitley Hood declined to provide on the record testimony regarding allegations that she misappropriated funds from an affiliated bank.
November 29
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By making a few tweaks to their management style, firm owners can better retain talent — and grow their practices.
November 29
