The Practice: Fees and compensation
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June 18, 2019Fiduciary Battle Spreads to New Jersey, Massachusetts and NevadaThe states are filling the void they believe has been left by the Department of Labor and the SEC.No Comments
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June 18, 2019Wealth Enhancement Group Adds $1.3 Billion Indie HybridThe acquisition of Maryland-based Planning Solutions Group is Wealth Enhancement’s 12th in six years.No Comments
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June 18, 2019Morgan Stanley Rolls Out Six ESG Investing PortfoliosThe portfolios, which have a $10,000 minimum investment, invest in companies working toward United Nations sustainable development goals.No Comments
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June 18, 2019MAI Capital Acquires Wealth Management Practice Catering to Pro AthletesReston, Va.-based MTX Wealth Management oversee more than $400 million for over 1,200 clients.No Comments
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June 18, 2019Morgan Stanley, Wells Fargo Lose FAs to This RivalAmeriprise recruits several advisors collectively overseeing $584 million.No Comments
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June 18, 2019Another Merrill Lynch Team Goes Indie with SanctuaryEvans May Wealth managed $800 million and follows Enclave Wealth Advisors’ departure from the wirehouse earlier this month.No Comments
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June 17, 2019Ex-UBS Advisors Forced into Finra Arbitration by Federal Court JudgeThe group claims the wirehouse unlawfully fired them before it had to pay out promised bonuses.Last Comment: June 17, 2019
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June 17, 2019Wells Fargo Loses FAs to Stifel and JanneyPlus LPL lures $100M practice from Cetera.No Comments
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June 17, 2019Fleming’s Rockefeller Lures Yet Another Merrill Lynch ExecThe latest hire will join the Rockefeller Global Family Office as a managing director in its new office in Los Angeles.No Comments
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June 17, 2019SEC Bars Ex-Broker Over Alleged ChurningThe broker allegedly reaped $935,000 in commissions from trading that cost his clients $881,000 in losses.No Comments
