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Here's what you missed this week in wealth management.
September 10
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The Miami group is managed by Regional Executive Eric Termini and is part of Alex. Brown’s Atlantic region, which is led by Regional Director Brett Kellam.
September 10
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More than 400 advisors and clients have used CHIP since Dana Wilson started the referral service at the beginning of last year.
September 10
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Enthusiasm for energy stocks could be an overreaction as society reopens.
September 10
Homestead Funds -
The firm cancelled plans for in-person receptions across 10 cities.
September 9
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The Salt Lake City broker-dealer, under scrutiny by regulators over its exorbitant fees and seizure of client money, lost a court battle seeking to force regulator FINRA to deal with it in person.
September 8
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Alexandria Capital is led by CEO Augustine Hong and CIO Jonathan Ferguson.
September 8
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Financial advisor Andre Jean-Pierre dropped his broker-dealer with big plans for his burgeoning group of followers on Twitter and Clubhouse.
September 8
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The securities lawyer and former NASD regional attorney explains why cases can be so hard to detect and what the industry can do to help.
September 8
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Penn Mutual-owned Hornor, Townsend & Kent has completed an executive shakeup after its advisor headcount fell by 10% last year.
September 7
