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The regional broker-dealer is among the industry’s most aggressive recruiters.
January 10 -
“This didn’t seem like a very fair process,” says the ex-advisor, who was ordered to pay the firm $206,000 for breach of promissory note.
January 8 -
Among the new recruits is an 11-person team.
December 30 -
The new hires signed on with the firm’s employee broker-dealer.
December 23 -
This year’s list, like last year’s, was created through a formula encompassing AUM, production and percentage of fee-based business.
December 18 -
This year’s list, like last year’s, was created through a formula encompassing AUM, production and percentage of fee-based business.
December 17 -
This year’s list, like last year’s, was created through a formula encompassing AUM, production and percentage of fee-based business.
December 13 -
It was Ray Jay’s tech and in-house marketing agency that initially appealed to the team.
December 10 -
Judge temporarily barred the advisor from soliciting former clients ahead of a FINRA arbitration hearing.
November 26 -
The new hires come from rivals Merrill Lynch, Wells Fargo and RBC.
November 25