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Wealth management has been a bright spot for investment banks and large institutions over the last few years. But operational challenges are starting to crop up; in fact, t...
With advisors actively mobilized against the Department of Labor’s fiduciary proposal, the Financial Services Institute is now turning its sights to investors with a new initiative that gives consumers a chance to weigh in...
William Galvin, secretary of the Commonwealth of Massachusetts, sued Securities America on Wednesday, claiming the firm failed to adequately supervise an advisor who used misleading advertising while prospecting elderly clients...
Three years ago, state examiners supplanted the SEC as overseers for thousands of mid-level RIAs, prompting dire warnings of death by inept bureaucracy. What actually happened? These advisors lived to tell the tale.
Three owners of brokerages are campaigning to be elected to the Financial Industry Regulatory Authority’s board of governors, the group that oversees Wall Street's regulator, with a similar messages: Stop antagonizing smaller firms...
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