The Practice: Staffing and recruiting
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December 12, 2018Morgan Stanley Legal Tussle With Ex-FAs Heats Up ... AgainThe firm initiated the lawsuit when six brokers left the wirehouse for Stifel.No Comments
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December 12, 2018Ex-Broker Pleads Guilty to Running 18-Year Ponzi SchemeHa apparently caused more than $9 million in losses to elderly victims.No Comments
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December 12, 2018Former Wells Fargo FA Wins $750K in Compensation ClaimThe award is three times the compensatory damages originally sought.No Comments
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December 11, 2018UBS Loses $2.2 Billion Wealth Advisory Team to Fast-Growing High-End RivalThe two join Rockefeller’s newly opened office in Atlanta.No Comments
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December 11, 2018LPL Holds on to 51 FAs and $2 Billion in Assets from Departing FirmBut Independent Financial Partners expects to finish the year with 350-plus advisors.Last Comment: December 11, 2018
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December 11, 2018How Referrals Helped One FA Firm Grow to $21.3 Billion in 16 YearsThe multi-family office Silvercrest Asset Management Group has made only one acquisition every three years.No Comments
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December 11, 2018Three B-Ds Must Pay Over $6 Million Due to Bad Blue Sheet DataCitadel, Natixis and MUFG admitted the SEC’s findings that they submitted years-worth of deficient data.No Comments
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December 11, 2018UBS Promotes Insider to Head U.S. Wealth Management UnitJason Chandler will succeed Brian Hull Jan. 1.No Comments
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December 10, 2018Indie FAs Sue Former RIA Alleging Their Business Was Held for “Ransom”Advisors say they were held “hostage” when they left their old firm.No Comments
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December 10, 2018Advisor Moves: Wells Fargo Loses $100M Team to Raymond JamesPlus: LPL and PNC moves.No Comments
