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Arvest Wealth Management sanctioned over customer privacy notices
The firm provided some 82,400 initial and annual privacy notices to customers that were not compliant and in some cases provided no notices at all, FINRA claimed.
Bank advisors on the move
Which banks are advisors moving to? One recently jumped to Woodforest National Bank from Merrill Lynch. Eight others switched to Arvest Bank, Northern Trust, Union Bank, U.S. Bank and Wilmington Trust from myriad financial services firms.