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A top FINRA enforcement official warns that firms' internal compliance systems are not clued in to the often ambiguous meanings of the symbols now peppering many financial planners' communications.
June 15
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SEC Chair Gary Gensler is worried about conflicts of interest in investment advice.
June 15
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The new firm, set to begin operations on Monday, will be partnering with Highwater
June 9
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The defections by Stewart Webb and Gerald Garner highlight a slew of recent recruiting moves, hirings and M&A deals displaying fierce competition for talent.
June 8
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The former advisor faces as many as 10 years in prison for stealing roughly $1.7 million from relatives' brokerage accounts to pay for trips, cruises and other personal expenses.
June 8
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Dennis B. Levine, a central player in the 1980's most notorious insider trading scheme, benefits from the regulator's fix, but so will some everyday financial planners.
June 7
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It may take time, trial and error but the turbo-AI tool is worth integrating into an advisory firm's marketing technology stack.
June 6
Meehan Marketing -
Industry groups question the wisdom of regulators seeking to have one rule on data breaches for broker-dealers and another one for advisors.
June 6
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Proponents of the House of Representatives legislation argue that new regulations often fall disproportionately on financial planners that don't have formal compliance and legal departments.
June 1
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As the head of nationals sales, Simmons will oversee the firm's recruiting efforts.
June 1
