The Practice: Fees and compensation
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April 18, 2019These 400 Broker-Dealers Made the Financial Times 2019 List of Top AdvisorsManaging client relationships is becoming more important to the group.No Comments
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April 18, 2019How Market Volatility Has Impacted Morgan Stanley's Wealth OfferingRevenues remained flat for 2019’s first quarter.No Comments
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April 18, 2019Mariner Wealth Acquires $1.3 Billion Practice in FloridaSinger Xenos Schechter Sosler marks Mariner’s sixth acquisition this year.No Comments
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April 18, 2019Regional RIA Player Tips its Hand with New AcquisitionMAI Capital Management has bought the Akron-based $100 million RIA, and more deals are on the horizon.No Comments
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April 18, 2019Industry Lobbyists Sharpen Knives for N.J.’s Fiduciary RuleBut some RIAs say it’s about time the brokerage industry was held to a higher standard.No Comments
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April 17, 2019Merrill Lynch Loses Another FA to This RivalThe rep has joined Raymond James & Associates.No Comments
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April 17, 2019Why Merrill Lynch is Now the Belle of BoA's BallThe unit’s net income increased to $1 billion by 14% last quarter.No Comments
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April 17, 2019RBC Ordered to Pay Back $50,000+ for Broker’s Alleged ActionsFinra arbitration panel ruled RBC Capital Markets violated Finra rules and Florida state law after broker recommends risky oil and gas investments.No Comments
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April 17, 2019Finra Bars Broker Who Allegedly Engaged in Annuity SwitchesThe bar ultimately came from the FA withholding documents during Finra’s investigation and for cheating on continuing education.No Comments
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April 16, 2019Why Advisors Say They're Moving to SEI's Revamped PlatformFAs particularly like the platform's tax planning and process optimization features.No Comments
