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Eileen Cure was terminated by LPL last summer after accusations of racism against Black job applicants. Now, she's suing the firm for almost $100 million, claiming it stole her clients illegally.
It's more important than ever for financial advisors to cut through the noise of a competitive market and connect with targeted audiences. This free eBook from TIFIN Clout shows you how to create a digital media strategy that resonates with...
The SEC staff bulletin detailed instances in which firms may be required to disclose, mitigate and, if necessary, eliminate conflicts of interest to comply with the Regulation Best Interest rule.
Kelly Milligan describes his journey at Merrill from zero to $1.5B in AUM, his role as chair of the ACTM, the change in culture at the firm and how that motivated him and his team to launch independent firm Quorum Private Wealth.
The court overturned a decision involving a FINRA arbitration ruling in favor of Wells Fargo, several months after the regulator commissioned a study to examine the case.