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How Advisors Could Win from Consolidation in BD Space
Broker-dealers are focused on improving the experience of advisors they acquire or bring on, according to report.
Powerful Finra Arbitration Forum Under Scrutiny
Finra handles more than 99% of the securities-related arbitrations and mediations in the U.S.
Why NAPFA Insists DOL Rule Isn’t Driving Consolidation
Advisor advocacy group says fiduciary rule will be difficult to reverse because the industry already made moves to comply with it.
Morgan Stanley Couple Switches to Raymond James
Husband-and-wife team had spent 19 years at Morgan Stanley and Smith Barney.
Tell Your Clients What They’re Doing Right
Focus on what’s already good, not just what needs improvement
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