Broker-Dealers

Despite Its Long Rap Sheet, Merrill Lynch Is Coopting The Fiduciary Message; Thundering Herd Will Beat A Glorious Path To Restoring Investor Trust

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by agluck     September 30, 2013      0.0 (0) Merrill Lynch’s rap sheet from the past decade reads like a chapter in a book about the history investment fraud, and the blundering herd played a central role in the global debt crisis. Yet the head of Merrill’s U.S. wealth management division and worldwide private banking and investment group posted an article in Barron’s t

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Commonwealth Financial Network Announces New Advisor Affiliation Models: You Can Be A Fee-Only RIA And Leverage The BD's Services

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by agluck     May 31, 2013      0.0 (0) Commonwealth Financial Network, which has 1,450 independdnent registered reps using its BD facilties, is now opening up up to RIAs and investment advisor reps.

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2012 Report Identifies Top Five Challenges For Broker-Dealers Along With Industry Trends And Best Practices

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by lisagray     September 10, 2012      0.0 (0) An industry report commissioned by Pershing affiliate Albridge was designed to highlight gaps as well as evolving trends and best practices in the broker-dealer industry. The first report was done in 2010. Beacon Strategies LLC, a strategy and consulting firm, has updated that report for 2012.

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Lincoln Financial Advisor Defamation Case Highlights The Limitations Of Brokercheck

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by ScottMartin     April 16, 2012      0.0 (0) Conflicting stories about a former rep that are now costing Lincoln Financial $2 million, but there's no trace of them in FINRA's publicly accessible database. That's probably a good thing.

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Long-Time Independent Advisor Goes The Other Way, Joins Ameriprise

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by ScottMartin     April 13, 2012      0.0 (0) After being on his own since the early 1980s, a Texas advisor has gone back to the employee model. The motives are simple: compliance and technology.

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