The Practice: Staffing and recruiting
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June 19, 2019Why 18-Year-Olds Can Now Sit for Industry Qualification ExamsFinra's qualifications boss explains the organization's changes to qualifications.
Transcript Video [ 6:26 ] No Comments -
June 19, 2019Merrill Lynch FA Barred After Allegations of Taking a Loan From a ClientThe wirehouse discharged Patrick Neal Foley last year over allegations that he had taken loans from a client.No Comments
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June 19, 2019Former Cetera Rep Barred Over Undisclosed PaymentsThe firm had discharged George Merhoff Jr. in April.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, 2019Six CFPs Automatically SuspendedThe CPF Board has issued automatic interim suspensions in connection to Finra bars as well as a conviction of child pornography possession.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
