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The bank, which has made wealth management its central focus, plans to charge its Swiss clients an annual fee of 0.6% on deposits of more than 500,000 euros.
August 6
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Danny Ludeman had worked at the wirehouse from 1999 to 2014.
August 6
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Those who fail to meet the cutoff face a hefty penalty that could hit as much as 25% of their dues.
August 6
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The industry is embracing new technology, big data and alternative investment strategies as clients demand more from funds.
August 6
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The SEC rule was based on a flawed assumption and fell far short of what it promised. As a result, states are forging ahead with their own fiduciary rules.
August 5
Securities Arbitration Clinic at the Law School of St. John's University -
One team wanted more flexibility and time to manage their clients’ financial needs.
August 5
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The new recruits join the firm’s employee channel from both wirehouses and the independent space.
August 5
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Data reported by the Investment Company Institute.
August 5
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The next big institution is going after fintech, but there’s still a long road ahead.
August 5
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The stark figures show that only about one-sixth or fewer of the sector’s financial advisors are women.
August 5
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The two advisors will name the team’s practice after their shared experience working for the military.
August 2
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If approved, the actively managed product will hold anywhere from 60 to 100 equities across sectors and will have no position holding over 5%.
August 2
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Asset managers are embracing new distribution technology, big data and alternative investment strategies.
August 2
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Rather than learn from the mistakes exposed regarding false listings of advisors’ “fee-only” status, the board doubled down on looking the other way.
August 2
Wealth Logic -
The firm didn't disclose its conflicts of interest in receiving over $100 million in revenue sharing from mutual funds over nearly five years, the SEC says.
August 1
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Ladenburg Thalmann's largest firm has added at least five teams in the wake of recent acquisitions by rivals.
August 1
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The once high-profile RIA owner ran a $20 million Ponzi scheme, federal prosecutors said.
August 1
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Managers will actively evaluate an asset’s characteristics — its value or momentum, for example — to determine what to buy.
August 1
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Former retail brokerage head David Kowach is moving to the consumer bank.
August 1
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One advisor has worked at Securian for his entire career.
July 31
