AdvisorHub breaking news & industry content.

Massachusetts Scrutinizes Trading ‘Kickbacks’ to B-Ds

Big LPL Brokers Gird for Compensation Change

8/15/17 | Morning Brief | No Comments

Top stories from around the web.

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Stifel Brokers Pay for Tampering with Former Firm’s Client Data

Stifel Brokers Pay for Tampering with Former Firm’s Client Data

8/14/17 | News | 1 Comment

Arbitrators uphold Hilltop Securities’ claim of criminal computer crime in imposing damages against San Diego brokers who jumped to Stifel.

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Oppenheimer Wins Skirmish in “Blackmail” Lawsuit Against Data Vendor

Oppenheimer Wins Skirmish in Blackmail Lawsuit Against Data Vendor

8/14/17 | News | 1 Comment

Firm alleges that DocuLynx refused to return client data to get new contract, raising risk of “substantial economic fines from regulators.”

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After ‘Mutual’ Separation, Morgan Stanley Manager Alights at Merrill Lynch

After ‘Mutual’ Separation, Morgan Stanley Manager Alights at Merrill Lynch

8/14/17 | Advisor Moves | 2 Comments

Former Princeton, NJ, branch manager who left in May is now helping to run a complex for Merrill Lynch.

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