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The regional firm has been trying to recruit more advisers, particularly those from wirehouses.
June 20
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Wirehouses, broker-dealers and banks unveiled client-friendly policies while asking the agency for further delays.
June 8
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The broker says the decision to switch firms was "an easy one."
May 17
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"It's always nice when one poker player folds and it's down to two or three players," one recruiter says.
May 12
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The two veteran advisers were legacy Morgan Keegan, a brokerage Raymond James acquired in 2013, On Wall Street learns exclusively.
May 4
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The group is led by an industry veteran of almost 40 years.
May 1
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The firm won a rejection of her $1 million claim, promissory note damages, legal fees and interest.
April 13
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Which firms showed “meaningful progress” in improving client experience? And which one slipped?
April 11
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The former Barclays broker still owes more than $460,000, a FINRA arbitration panel ruled.
April 4 -
The new hires join the regional BD from Baird.
March 15
