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The settlement is the third major regulatory payment the BD has incurred in the past year. A branch manager associated with the Jay Peak case has also left the firm.
April 17
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The group includes a father-daughter duo who have worked together for 25 years.
April 13
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Older wirehouse advisers opting to go independent should keep these factors in mind if they want a richer exit from the business.
April 13
Mark Elzweig Co. -
Which firms showed “meaningful progress” in improving client experience? And which one slipped?
April 11
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HighTower and Dynasty added big platform clients as wirehouse brokers continued to flee.
April 10
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At least 27 brokers have joined the firm, including a father-son team from UBS with $261 million in AUM.
March 30
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The ex-Morgan Stanley advisers say their niche practice, which is geared toward women and divorcees, will be better supported by Raymond James' platform.
March 23
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The firm also granted its new chief stock options worth $4.8 million following a debt refinancing.
March 20
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Over 50 advisers have now joined the independent firm, which is affiliated with Raymond James.
March 20
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The firm’s equity partner channel added five breakaway wirehouse teams last year and 64 since 2008.
March 15
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The growing independent firm has recruited five ex-wirehouse planners since the start of the year.
March 13
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Two of its Royal Alliance firms form a $2.5 billion powerhouse.
March 8
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The firm previously shuttered a wealth management unit last year that failed to take off despite some high profile hires.
March 7
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The six-member team serves ultrahigh-net-worth investors and families.
March 6
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Wirehouse brokers and teams from Kestra and MSI Financial led the way in a flurry of hires.
February 28
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The latest developments make columnist Bob Veres wonder whether he has fallen through a wormhole.
February 27
Financial Planning -
The independent firm affiliated with Raymond James recruited six advisers for a new branch office.
February 24
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The layoffs are part of a shift of personnel to LPL Financial's South Carolina campus to cut costs and position the independent broker-dealer for future growth.
February 23
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Former head Mark Casady, new chief Dan Arnold and board member Marco Hellman each netted millions.
February 17
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The self-regulator is modifying its much-maligned process, addressing transparency and arbitrator qualifications, among other concerns.
February 10
