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A panel asserted that Alpine Securities had misused customer funds and securities, made unauthorized trades and charged customers unreasonable fees, while the firm argued it needed to raise fees to offset lower profits.
The commission argued Pennsylvania-based Ambassador Advisors breached its fiduciary duty by investing client funds in mutual fund share classes with 12b-1 fees when more affordable options were available.
For Brock Moseley, the choice to leave Morgan Stanley for a second time, in 2007, to launch RIA Miracle Mile Advisors was about living true to his ethos. He built the independent firm from the ground up based on everything he couldn’t find...
