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Also, J.P. Morgan saw a team managing $300 million in client assets go independent.
June 20
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Three industry veterans – one with more than four decades of experience – oversaw more than $205 million in client assets, according to Raymond James.
June 20
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The adviser, who has more than 30 years of industry experience, left to join Noyes.
June 6
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The recruit had $1.8 million in annual production before making the move, the regional BD said.
June 2
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The New Jersey bank moved its investment services program to Raymond James after a 14-year relationship with Essex Securities.
June 1
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The firm is facing a lawsuit on behalf of investors who lost money in a $350 million Ponzi scheme.
June 1
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Close scrutiny of data from the nation’s largest IBDs reveals some surprising shifts, with more to come.
June 1 -
The independent broker-dealer industry could lose a third of its brokers and many of its smallest firms, experts predict. What does that mean for survivors?
June 1
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See which TPM tops the list for both highest production-per-adviser and highest fee income.
June 1
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The industrywide gain in fee income is a welcome development given the new fiduciary rule--see how firms are preparing for new regulations as well as new competition.
June 1
