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April 17, 2019
Morgan Stanley Pins Hopes on Changing Judge's Mind in Texas Defection Fight
The wirehouse says it's a case of "egregious employee disloyalty, breach of contract, unfair competition, and misappropriation of confidential information ..."
Why Merrill Lynch is Now the Belle of BoA's Ball
The unit’s net income increased to $1 billion by 14% last quarter.
Merrill Lynch Loses Another FA to This Rival
The rep has joined Raymond James & Associates.
Finra Bars Broker Who Allegedly Engaged in Annuity Switches
The bar ultimately came from the FA withholding documents during Finra’s investigation and for cheating on continuing education.
RBC Ordered to Pay Back $50,000+ for Broker’s Alleged Actions
Finra arbitration panel ruled RBC Capital Markets violated Finra rules and Florida state law after broker recommends risky oil and gas investments.
VideoThe Dangers of Taking a 'Quantity Over Quality' Approach to Designations
|The Client - Finding and winning new clients||The Client - Client retention|
|The Client - ERISA plans/institutional management||The Client - Behavioral finance|