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Financial advisor Jay Womack won a rare rebuke with a punitive payout after a messy split with his former business partner.
April 5 -
In J.D. Power’s annual survey, independent and employee reps gave wealth managers a higher satisfaction index than last year.
July 12 -
The trio of advisors leaving Commonwealth for the regional firm are its largest “reverse breakaways” ever.
June 7 -
Peggy Ho built the rival firm’s government relations team, and she’s joining the new firm at a pivotal time in wealth management regulation.
April 22 -
The wealth managers paid victims restitution prior to one barred rep’s guilty plea and another one’s sentencing.
March 23 -
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 -
One of the largest wealth managers aims to attract more teams out of the crop of nearly 7,000 advisors leaving employee-channel firms each year.
January 26 -
The advisor allegedly carried out a 20-year scheme defrauding at least 15 clients through forgery and misrepresentations.
October 7 -
In a sign of long term changes and pivotal questions for the industry, the difference between the amount of fees and commissions in the sector has nearly doubled.
July 10 -
The survey's perennial champions scored higher than competitors like Wells Fargo, Ameriprise and LPL on every metric.
July 7