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The company reported losses in three straight quarters through March 31.

Proponents of internal crossing say it can reduce costs, while detractors say it's riddled with potential conflicts of interest.

Friends and business associates lost $2 million in a Ponzi-like scheme.

Near retirees can mitigate the impact of inflation by shortening the duration of bond portfolios so that re-investment at higher rates can be done in the future.

The advisers made the move in the wake of new regulatory guidance which takes aim at recruiting deals.

Regulator comes down hard on compliance failures; additional $6.3 million must be paid back to investors.

Two industry veterans joined the fast growing regional brokerage firm.

How advisers can prepare for renewed interest in alternatives.

"There are ways to potentially be cute with it. You could potentially cut out retirement business from the back-end bonuses," says an ex-Merrill Lynch executive who works in the independent space. "Cute doesn't usually work when it comes to regulators."

Best ways to bring two firms — and distinct cultures — together.