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The executive suite transition has been years in the making.
January 3
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One of the recruits has more than two decades of experience.
December 28
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The regulator said "significant deficiencies" affected hundreds of millions of records.
December 21
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The model for financial advice "is primed and ready for change," says Cetera CEO Robert Moore.
December 8
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The potential for the fiduciary rule to be scuttled by the Trump administration helped drive the decision, sources say.
December 8
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Casady provides both consistency and a fresh approach, leaders of the firm's OSJs say.
December 5
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President Dan Arnold will be tasked with managing the rollout of new digital technologies and implementing the fiduciary rule.
December 5
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The president and former CFO will step up at a critical time for the nation’s largest IBD amid competitive threats and pressure to boost its stock price.
December 5
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The firm’s review process is called "paper-thin" after an adviser is charged with selling retirees unsuitable variable annuities and fabricating client information.
December 2 -
Fiduciary rule preparation and new technology lures Integrated Financial Partners.
November 29
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The recruits switched over to the independent channel of the regional firm.
November 28
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A $650M firm serving HNW clients wanted help "navigating regulatory change."
November 9 -
Amid reports of a possible sale, assets rise and expenses fall.
November 3
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Paul T. Lebel excessively traded shares that carried large front-end loads and "willfully disregarded the customers' interest," the agency said.
October 19
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News that LPL may be looking for suitors comes at a time of financial pressure for the country's largest independent broker-dealer.
October 14 -
Shareholders shouldn't hold out too much hope for a takeover and here is why.
October 12 -
Industry experts survey the field of potential suitors.
October 12
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With LPL Financial potentially exploring a sale of itself, we look back at some of the biggest deals over the last few years.
October 11 -
The country's largest IBD is said to be exploring strategic alternatives, which may include shopping itself around for buyers.
October 11 -
Founded by former wirehouse advisers, XML Financial is the seventh firm to join the IPO-bound RIA aggregator this year.
October 5
