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Elias Herbert Hafen, “every client’s worst nightmare,” could face years in jail. The wirehouse says it is repaying clients.September 9
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The firm's most recent lawsuit over alleged non-solicitation violations centered on an advisor's thank-you cards to clients.August 8
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One team wanted more flexibility and time to manage their clients’ financial needs.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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James Gorman dismissed any speculation after the unit posted record revenue and pretax profit in the second quarter.July 18
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The wirehouse’s latest litigation suggests other everyday activities of defectors could come under scrutiny.July 11
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A better technology strategy may help firms improve walletshare, a new report says.June 26
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The RIA is the largest firm to depart the protocol in more than a year and a half.May 14
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The mutual funds and ETFs that ranked at the bottom of the sector still benefited from a “long-running bull market,” an expert says.May 1
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The 11-person team, which was assisted by Dynasty Financial Partners, was attracted by the raft of technology options in the independent space.April 29
