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March 12, 2019

Wells Fargo, LPL, Raymond James, Stifel, Oppenheimer, RBC and 73 Other Firms Ordered to Pay Millions to Harmed Investors
As part of the settlement, the SEC won’t impose financial penalties for the share class violations. See the full list.
This NFL Player is Now an FA Where He Used to be a Client
The first-round NFL draft pick from Penn State will oversee a team of CFPs and CFAs.
New York Attorney General's Trump Investigation Involves Bank's Wealth Management Unit, News Reports
Deutsche Bank’s U.S.-based wealth unit had allegedly extended more than $270 million in credit for Trump Organization projects in Washington, D.C., and Florida, according to media reports.
How a Chance Meeting Led to a Multi-Family Office Merger
Bender Lane Advisory president reveals reasons behind its merger, and what it means for both practices.
Football FA Continues Working with NFL Stars Despite Two-Year-Long Split with Players Union
The Austin-based advisor had been suspended from a program run by the NFL Players Association in 2017.
Two-Year Prison Sentence for Ex-FA Over “Lying”
The man is heading to prison for apparently deceiving clients and the SEC.
How Retirement Account Fraud Has Tripled
Brokerage fraud has also jumped, according to a recent report.

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