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Wells’ 2019 Comp, and Other Top Stories of the Week
Stifel Seeks to Subvert Baird’s Purchase of Hilliard
Finra Fines Merrill $300,000 for Missing Red Flags on Crooked Broker
2019 Comp: Wells Fargo Advisors Clips Payout to Low Producers
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Advisor Moves
Goldman Private Wealth Names Atlanta Manager, Alex. Brown Hires Atlanta Advisor
Hilliard Lyons Team Joins Stifel Ahead of Baird Acquisition
Merrill Team in Vegas with $2.4 Mln Production Joins Ameriprise
Ameriprise Lands Merrill, Morgan Stanley Teams in Hawaii and NYC
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Enforcement
Ex-Morgan Stanley Broker in Boston Sentenced to Five Years for Client Theft
Finra Bars Ex-Merrill Complex Manager Over Expense Accounts
Ex-Merrill Broker Who Borrowed from Client to Go Indie Gets Finra Suspension
Finra Bars Wells Broker Whose Client Helped Him Qualify for Designation
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Opinion
Op-Ed: End of Bull Market Reveals Bereft Management Policies
Wall Street Drags Main Street Into a Fee Dispute: Nir Kaissar
Here’s a Way to Help Tell Good Brokers From the Bad: Nir Kaissar
How to Debate Finance Without Being a Jerk: Barry Ritholtz
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Fintech News
Bitcoin Set to Close Week Near $3,000 as December Losses Mount
Bain-Backed Crypto Startup Closes as U.S. Securities Laws Bite
A Hedge Fund Big Beast Is Killed by the Robots: Marcus Ashworth
Ranks of Crypto Users Swelled in 2018 Even as Bitcoin Tumbled
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RIA Resource Center
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RIA Resource Center
Information surrounding options for becoming an independent RIA, key benefits, economic potential and the role of the custodian.
Charting Your Own Course: Discover Five Business Models for the Modern RIA
Solving the Financial Documentation Compliance Challenge
Advisor Space Movement, Trend or Choice and Value?
Schwab’s Tim Oden at Advisor Hub’s Industry in Transition Summit
The Rise of the Hybrid RIA – A Financial Services Odyssey
Forward Momentum: Why Elite Teams Claim Their Future as RIAs
Equity…. the pros and cons. What’s really under the hood?
Want a Succession Plan? Get Out of Your Own Way
The Treat is for the Taking: The Anniversary of Morgan Stanley’s Halloween Protocol Withdrawal
Our story of independence: Concentus Wealth Advisors
Memo to RIA’s: Three Critical Steps to Long-Term Success
Is it Time to Make Your First Acquisition? Financing for RIA Professionals
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