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The biggest bank merger in 10 years makes a lot of sense at the top levels, but some advisors may find their new home restrictive, an observer says.
February 7 -
Brokerage firms have been filing more lawsuits against former employees over alleged violations of non-solicitation agreements.
November 14 -
Douglas P. Simanski allegedly told clients he would invest their money in a “tax-free,” fixed-rate investment, a rental car company and a coal mining firm.
November 6 -
Researchers from top business schools studied arbitrator selection, as shown in nearly 9,000 cases filed by clients over a 27-year span.
October 24 -
A petition to vacate the award was denied by a federal judge.
October 19 -
The holidays must be coming soon because BIC is working on its annual ranking of top bank advisors.
September 25 -
Helping clients navigate the complexities of tax reform is even more of a priority.
September 18Napier Financial -
Investment firm blamed fat finger error for 90% decline when losses were really due to poor trading.
August 27 -
The boutique wealth manager has been aggressively courting top brokers.
August 10 -
The rep accepted two loans while employed at Robert W. Baird and later neglected to disclose them to Citigroup Global Markets, FINRA claimed.
August 7