Regional & Wirehouse Brokers

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Raymond James Launches Southern New England Complex

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The firm's traditional b-d is expanding in New England.

Fidelity Sued Over Mutual Fund 'Kickbacks' In 401(k) Plans

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The suit alleges that Fidelity's "secret payments" to third-party mutual fund providers breaches ERISA rules.

'Mega' Advisor Teams Control Two-Thirds Of Client Assets, Study Says

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Yet advisor teams with $500 million or more in AUM represent only a fraction of advisor practices.

Goldman Traders Had Most Losing Days In Seven Years Last Quarter

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Goldman Sachs traders posted losses on at least 19 days in the last quarter.

Former Merrill Lynch Broker Sentenced To 40 Months In Prison

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Thomas Buck was once ranked among the nation's top financial advisors.

Advisor360° Signs Software Licensing Agreement With MassMutual

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Advisor360°, a new stand-alone technology company owned by Commonwealth Financial Network, has entered into a licensing agreement with Massachusetts Mutual Life Insurance Co. (MassMutual).

Goldman Said To Have Mulled Buying Boutique In Banking Push

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Goldman Sachs considered a takeover of Harris Williams & Co.

SEC Flags Advisor Background Checks In New Alert

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The SEC is enlisting consumers and investors in checking the backgrounds of their advisors and brokers.

Maryland Proposes Fiduciary Standard For Brokers, Insurance Agents

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Industry groups are lining up against the legislation, saying it will create problems for multistate firms.

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