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SagePoint Financial failed to adequately supervise reps who recommended that clients exchange the products before maturity, the regulator says.June 16
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While CEO Jamie Price says tech capabilities rather than cost savings prompted the decision, he acknowledges the need to win over the reps who are now set to change firms.May 15
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The No. 1 IBD added Securities America’s largest enterprise, whose founder says the firm’s new private equity-backed owner made him uncertain about the future.May 6
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Rivals and rating agencies aren’t taking any breaks in the pandemic, and CEO Jamie Price says the new giant IBD network remains on track as well.April 3
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Ratings agencies predict major losses for all of the largest BDs, prompting firms to reassess strategies in uncertain times.March 30
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Moody’s lowered the giant IBD network’s credit rating with sobering words that could resonate across wealth management.March 20
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Wealth management firms should track the lives they impact beyond the size of their client books, KMS Financial Services CEO Erinn Ford says in an episode of Financial Planning’s Podcast.March 17
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Faced with the retention risk from the RIA-only channel, firms are trying to alter their company cultures and questioning traditional approaches.February 5
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The recent moves display the stakes of the competitive recruiting fight, which has led to firms like AmeriFlex seeking to give advisors greater flexibility and resources.February 4
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Rivals will be waiting to seize on any changes that may irk some 4,400 representatives poised to operate under a new parent IBD network.January 6
