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Displaying 15088 results

Topic

Rally in Puerto Rico bonds has blown investors’ minds

Governor revises fiscal plan as others question the rally's staying power

Topic
  • News
  • March 30, 2018

Deutsche Bank reportedly names John Thain to its supervisory board

Former Merrill CEO is one of four nominees to stand for election in May.

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ETFs may get riskier with planned rule to ease approvals

Regulators are concerned the proposal could aid bad behavior.

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Finra bars no-show former broker fired over fund sales

Lawrence Fawcett Jr. had consented to making unsuitable recommendations.

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DOL fiduciary rule death meets ‘Back to the Future’ is a must-watch

5th Circuit decision may lead to three tiers of client protection.

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6 ways to leverage tax reform in your marketing strategy

Changes like tax reform give you an opportunity to educate and provide value to the public.

Topic

Finra bars former Fortune Financial rep over document denial

Fired over a fraud charge, Michael Giokas refused request for information.

Topic
  • News
  • March 23, 2018

Merrill, JP Morgan reps managing $511 million go indie with FiNet

Minnesota Merrill team and Michigan solo broker affiliate with Wells Fargo.

Topic

Women’s History Month: Celebrating the women of financial planning

More needs to be done to ensure the industry and profession are open and welcoming to female professionals.

Topic

Bill Van Law exiting as head of Raymond James’ RIA unit

Firm says he will be 'pursuing other interests.'