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LPL hires senior exec from MarketCounsel with extensive knowledge of breakaway brokers

Marc Cohen, formerly COO at the business and compliance consulting firm, joins the IBD in a business development role.

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Interest groups spar over best way to cover unpaid arbitration awards

PIABA suggests brokerages fund a pool or Finra pay for shortfalls with fines, while FSI asks regulators to ban offenders from all corners of industry.

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Despite broker protocol mess, advisers still thinking about leaving Wall Street: Schwab study

Just 16% of advisers surveyed see the withdrawals from the broker protocol slowing adviser moves.

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Clayton tells lawmakers advisers can skirt fiduciary standard

SEC chairman refuses to give specific time line for final advice-reform rule, but says it’s a priority.

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Ex-broker pleads guilty to 18-year Ponzi scheme, costing elderly investors $9 million

Steven Pagartanis solicited elderly victims to invest in real estate, a Canadian company and an international hotel conglomerate.

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Success stories: West

Top fee-only RIAs ranked by total assets under management.

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Success stories: South

Top fee-only RIAs ranked by total assets under management.

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How financial services firms can help employee caregivers

Assess how to provide resources, education and support for employees who are providing care for older family members.

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Fixtures: This Is Ralph Lauren’s Barber

Want the “gentleman cut”? Clemente Dimonda is your guy.

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SIFMA says Reg BI raises broker standard above investment adviser requirements

Investor advocate Roper: SIFMA wouldn’t support SEC proposal if it reformed broker practices

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