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Unique Challenges In Handling Existing VAs
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When new clients bring previously purchased contracts to the table, advisers have options.
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Wells Fargo And BofA Are Leaning On Their Brokerage Businesses
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Bank of America Corp. and Wells Fargo are pushing their customers to buy more brokerage, savings and banking services from them…
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Top 5 Investor Product Traps For 2011
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Advisors and their investor clients should be on the lookout for these popular scams.
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TIC Investments Come Back To Bite
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Real estate exchanges looked great before bust, but now toxic for B-Ds.
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The Hartford Rolls Out Principal, Income Guarantee Products
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The Hartford is betting that enhancements to its variable annuity suite will pull it ahead of competitors in the race to offer investors secure retirement income options.
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Smith Barney agrees to pay $50M in suit
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Smith Barney has agreed to settle a class action alleging that the firm loaded up customers of its broker-managed fee-based accounts with stocks of investment banking clients.
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Representives Advisors Value Based On Production Numbers
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Defection of top team could trigger ‘shock waves’ at Merrill: Recruiter.
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Private-placement due diligence 'sloppy'
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Forensic accountant Gordon Yale blasts brokerage firms for past sins; some B-Ds vetting deals more closely.
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MF's missing $$$ makes you wonder about Goldman, JP Morgan: Weil
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Accounting firm that signed off on bankrupt B-D’s books also auditor for Wall Street titans.
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Limited Partnership Sales 1.2M In Damages Ameriprise
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Securities America, with about 1,900 reps and advisers, is owned by Ameriprise Financial Inc., one of the largest retail brokerage firms in the country.
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