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Archive :
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t is time to embrace a uniform fiduciary standard, Dick Averitt, the chairman of Raymond James Financial Services told a packed general session at its national conference for professional development.
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Wealth managers join forces as SEC, Labor Department get ready to issue new investment advice rules.
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A major overhaul of suitability mandates that take effect today has some in the brokerdealer world worried about much broader obligations to oversee customer accounts and investment strategies.
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What is an advisor’s true fiduciary duty?
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Chase Investment Services Corp., a division of JPMorgan Chase, will have to reimburse brokerage customers $1.9 million.
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Greg Smith’s very public resignation from Goldman Sachs has sparked heated discussions in the financial services industry…
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Finra alleged that a broker bought reverse convertible notes for 21 mostly elderly customers.
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Fiduciary Now! How to Protect Main Street from Wall Street’s Casino Culture.
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Other priorities next year will include hiring more examiners to police advisors, JOBS Act rulemaking on Reg D, crowdfunding.
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Dalbar CEO Lou Harvey reacts to Tibergien’s lament about ‘fiduciaries in name only’.
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