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Funds managed by Marco “Mick” Hellman sold most of their holdings, while CEO Dan Arnold received options worth $5 million.
February 28
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The retailer's foray into wealth management is a wake-up call for an industry that often overlooks female investors.
February 27
The Rudin Group -
The wirehouse is charting a litigious course since breaking with the Broker Protocol, and some observers think the scorched-earth campaign could harm its reputation.
February 27
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Of the 46 advisors newly appointed as managing directors at the firm, only three were women.
February 27
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The IBD network has retained Goldman Sachs for a structural review that could have major implications.
February 26
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One recruiter argues the firm is losing talent because it will eventually exit the Broker Protocol.
February 26
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At Merrill "it felt like we shifted away a little bit in recent years from the core focus of wealth management," advisor Matthew Spradlin explains.
February 26
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Strengthened legal language recently added to bonus agreements will be removed, according to people familiar with the matter.
February 23
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The 110-year-old wealth management firm intends to expand its tax-planning services through more acquisitions.
February 23
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Advisor "reaped substantial profits" from 65 clients by using block accounts, the regulator says.
February 22
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Sales dropped by 8% last year, but LIMRA finds reason for optimism in 2018.
February 22
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An advisor who is a former ballplayer set ambitious goals for 2021 with an alternate take on the hybrid strategy.
February 22
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The Raymond James affiliated firm has been aggressively recruiting from wirehouses in recent months.
February 21
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A FINRA arbitration panel concluded that the No. 1 IBD made false and defamatory statements in its U5 filings.
February 20
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The brokers previously worked at Wells Fargo, which has suffered from attrition to smaller rivals over the past year.
February 20
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The CEO of the firm’s parent says it expects to trim hundreds more advisors from its ranks over coming months.
February 20
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“We’re going from a Civic to a Cadillac,” advisor says of the move.
February 19
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First Federal Savings Bank of Champaign-Urbana moved its investment services business to LaSalle St. Securities in a bid to deepen relationships with the back-office staff supporting the business.
February 16
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A recent scam involved a fake signature from FINRA CEO Robert Cook.
February 16
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CEO Josh Pace credits the smaller custodian’s agreement to be sold to E-Trade for the move.
February 16
