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An Advisor's Fight to Clear His Name Clashes With Finra's Resolve to Uphold its Rules
Finra and the SEC view the expungement of broker-dealer records as an "extraordinary measure" and not one that should be expected to be routine.
UBS Adds Non-Solicitation Clause to Advisor Bonuses
Brokers who then try to solicit clients within a year of leaving the firm will expose themselves to lawsuits.
HighTower’s Latest Acquisition Reveals Firm’s Growth Strategy
HighTower is investing in growing its acquisitions and bringing on RIAs and wirehouse brokers.
Finra Panel Slams LPL over Terminations
Separately, another Finra panel awards $445K to a client of Hilliard Lyons.
Why RIA and Indie Broker-Dealer M&A Deal Size has Tripled
Size of deals soars as number of transactions drops slightly.
ThinkTank: Latest Published Content

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