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The judge declined the barred rep’s request for sentence reduction based on his “severe” bipolar disorder and restitution efforts.
June 4 -
The Financial Services Institute blasts the move and won't rule out legal action to reinstate the more favorable Trump-era regulation.
May 12 -
The enterprise could reach more than 50 registered representatives in the next couple of months, depending on how many of them leave MassMutual.
May 6 -
After appointing the committee and starting a new conference series, co-chairs Fanci Worthington and Stephen Oliver are asking all advisors to get involved.
April 22 -
Financial advisor Jacqueline Campbel led a diversity program at her old firm and has ambitious expansion goals for her new one after 25 years in the industry.
April 14 -
The IBD network added a community bank’s investment program after exceeding the goals it set at the beginning of 2020, its head recruiter says.
March 11 -
The rep reeled in at least a dozen victims to the complex scam even though he was suspended from the industry for a different case, according to investigators.
March 9 -
Ascensus sold the practice with four reps and $490 million in client assets after acquiring it two years ago.
March 9 -
The private equity-backed firm’s deal could tack on some 900 advisors to its ranks.
February 8 -
New hires come at a moment of heightened competition for talent industrywide.
February 5