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Dan Jamieson

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Brokerage Firms Charge Bonus Disclosure Plan Ignores Costs

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The brokerage industry is warning that lack of a cost-benefit analysis could doom Finra’s plan to require disclosure of broker-recruitment bonuses.

Seattle B-D Merging Into Robert W. Baird

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McAdams Wright Ragen Inc., a Seattle-based regional brokerage firm, has agreed to merge with Milwaukee-based Robert W. Baird & Co. Inc.

Claw Backs Sought From 329 Brokers Who Worked For Ponzi Schemer

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The receiver for Stanford Financial is asking the U.S. Supreme Court to force brokers who worked at the firm to give back commissions and bonuses.

High-Level Advisor Executive Suddenly Leaves LPL

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In a surprise development, Derek Bruton, managing director of independent advisor services at LPL Financial, has left the firm.

Schwab Execs: High-Speed Trading A 'Growing Cancer'

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Chairman Charles Schwab and CEO Walt Bettinger said high-frequency traders were "gaming the system" and "undermining investor confidence in the fairness of the markets.”

2014 Independent Broker-Dealer Survey: Indies Ascend

by Dan Jamieson

Pressures are increasing, particularly on small independent b-ds, but various trends are creating plenty of opportunity for the industry overall.

Finra Slaps LPL Over Direct Investment Sales

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Finra today said it had fined LPL Financial $950,000 for supervisory lapses in the sale of direct investments.

FSI To Finra: Kill CARDS

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The massive customer-data collection system known as CARDS envisioned by Finra won’t work, the Financial Services Institute said in a comment letter Thursday.

Morningstar Downgrades Pimco’s Stewardship Ratings

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Morningstar Inc. has lowered two important overall ratings on Pimco.

FSI Still Wary Of Finra Data Collection Plan

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Finra’s promise not to collect personally identifiable information through its proposed CARD system does not alleviate security concerns, the Financial Services Institute said today.

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