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The settlement between the SEC and Chistoper Hibbard comes several months after he was sentenced to more than eight years in jail for defrauding numerous clients.
In the inaugural episode of the Advisor Innovations podcast, recruiter and consultant Mindy Diamond discusses how the advice industry has changed, why advisors change firms, and how the lines between the traditional business affiliation models are...
Sen. Jeff Merkley and Rep. Bill Foster have introduced a new bill addressing an old issue—whether to ban mandatory arbitration agreements between investors and advisors.
