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The case offered the latest example of a serious prison term for financial exploitation of older adults — a problem experts say is even bigger than the sobering statistics.
April 13
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Five financial advisors with $1.45 billion in client assets and seven support staff members moved to the independent brokerage's breakaway channel.
March 6
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The largest independent brokerage's four-year-old Services Group generates a level of business comparable to many midsize wealth management firms.
March 1
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FINRA arbitrators approved the expungement of client complaints that had already led to significant payments as the SEC considers a new rule reforming the process.
February 24
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The current share of 84% of the industry's holdings at Charles Schwab, Fidelity, Pershing and LPL may not stay so big forever, according to Cerulli Associates.
February 13
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Wealthcare Advisory, an LPL hybrid RIA, deployed its private equity capital and planning technology to reach record levels of client assets and financial advisors.
February 7
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The largest independent broker-dealer is also "on a journey" to reach more high net worth clients through new tools under development, CEO Dan Arnold said.
February 3 -
The mother-daughter team sold their practice to SageView Advisory after deciding that they needed to shed some tasks in order to spend more time with customers.
January 30
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The former broker's last-ditch effort to convince a former friend and victim that his money was secretly invested and doing well only led to more charges.
January 19
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The recruiting and M&A transactions bring another record year to the finish line ahead of an expected slowdown in 2023.
December 23
