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The increase was due to the rise in the size and number of "supersized" fines of $1 million or more; meanwhile, restitution fell 71% from the previous year.
March 1
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The decision also affects David Carroll, who leads wealth and investment management, according to the firm.
March 1
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"There is an effort underway in our industry to redefine value," Tim Hockey, TD Ameritrade's chief executive officer, said about the lower commissions.
March 1
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The two advisers went indie with Focus Financial, one of the country's biggest RIA aggregators.
March 1
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Take a look at some of the best comments from your industry peers on the fiduciary rule.
March 1
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After investing millions in new platforms and preparing thousands of advisers, executives say they've come too far to reverse course.
March 1
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If rule isn’t scaled back, the lower tier of advisers has a rough road ahead. Their “future isn’t what it was in the past.”
March 1
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It’s not just about consumer advocates and advisers; there’s another side to the issue that’s not getting the attention it deserves.
March 1
Employee Benefit News and Employee Benefit Adviser -
Andy Sieg says the firm's digital wealth and mobile app investments are "a key strategic story."
March 1
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The department says it needs time to complete a review of the regulation ordered by President Trump, who also recently outlined criteria for reversing the rule.
March 1
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Wirehouse brokers and teams from Kestra and MSI Financial led the way in a flurry of hires.
February 28
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Too often, the agency overlooks the true impact of its policies, according to commission's investor advocate.
February 28
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The appointment follows a management realignment that occurred in the wake of Huntington's acquisition of FirstMerit last August.
February 28
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The move comes after Vanguard, State Street and BlackRock lowered expense ratios.
February 28
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The new recruit is an industry veteran, having spent more than two decades at Wachovia and Wells Fargo.
February 28
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The deputy director of the agency's examinations unit, however, cautions that any such effort must be carefully coordinated.
February 28
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Morgan Stanley is in “advanced discussions” with the IRS to resolve any client tax underpayments, according to an SEC filing.
February 28
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The three recruits all have past work experience at A.G. Edwards.
February 27
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The bank plans to acquire a Cincinnati insurance agency as part of an initiative to increase fee income and boost insurance services.
February 27
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Andy Sieg, head of the firm, says that "operational changes" are possible if the rule is delayed or overturned.
February 27
