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Several of Dawn Bennett's clients suffered major investment losses, "with two losing $1 million and $17.6 million," according to the SEC.
July 12
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The two ex-wirehouse advisers each had about 20 years of industry experience.
July 12
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The largest recruits managed more than $17 billion in client assets.
July 11
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Adviser recruiting was not expected to be affected, according to people with knowledge of the matter.
July 11
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The goal is to make clients appreciate the value of services being offered.
July 11
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Market volatility and industry changes have had a chilling effect on advisers' career plans.
July 10
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The largest teams to go indie this year managed more than $5 billion in client assets.
July 7
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Two advisers left Lebenthal Wealth Advisors to start their own practice approximately two years after they joined the firm.
July 7
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"His lies, piled on one after another, have led to today’s substantial and serious charges," U.S. Attorney Peter Neronha said.
July 7
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Backed by the considerable resources of Manulife Financial, Hancock wants to be a player in an altered IBD marketplace.
July 6
