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“We look forward to our day in court and will not be bullied by the regulatory thugs at the SEC," the firm's co-founder says.December 23
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With an eye on pathways to fee-only practices and away from an “eat what you kill” philosophy, four planners aim to usher in a more diverse profession.December 22
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Despite pledges, the IBD network didn’t collect enough data for suitability reviews of the outside transaction for more than five years, according to the regulator.December 22
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LPL Financial and indie rivals like Raymond James, Wells Fargo FiNet and Kestra Financial completed at least 17 recruiting grabs of $800 million or more this year.December 18
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With 350 firms on its client roster, the acquisition of Flourish gives the insurer a springboard into the independent advisor market.December 16
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It’s one of the largest teams to quit a wirehouse this year.December 14
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Regulatory shifts, M&A, new technology — there’s a lot on the horizon for the industry.December 13
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The OSJ scooped up teams from Edward Jones, Wells Fargo Advisors and Wedbush Securities.December 11
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The firm’s new business highlights the beginnings of a shift in the custody marketplace due to a series of consolidations.December 10
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Funding is getting tighter as advisors look towards marketing automation as an engine for growth.December 9
