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The SEC argued that Westport Capital Markets and its owner, Christopher E. McClure, had 'generated significant undisclosed compensation' to the detriment of their clients.
Wirehouse advisors reported lower levels of support and greater levels of business disruption over the last year compared to non-wirehouse and independent advisors, according to a J.D. Power survey.
By outsourcing costly and time-intensive processes, advisory firms have been able to re-devote their attention to the valuable services they’ve been hired to provide for their clients.
