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Cambridge Investment Research’s RIA business 'breached its fiduciary duty' by failing to disclose agreements with clearing brokers to share revenue with the firm from some mutual funds and wrap fee accounts, according to the SEC.
After President Joe Biden urged Congress to pass the bill during his address, the IBD advocacy organization argued it could weaken the independent contractor status of many financial advisors.
Jerry Lombard, president of Janney’s Private Client Group, talks about the regional firm’s exponential growth over recent years, and how its unique balance of freedom and flexibility makes the employee model an attractive alternative for advisors...
