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The IBD trade group launched a public campaign after more than 80 cases this year alleging inadequate disclosure of mutual fund fees and compensation.September 5
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The IBD failed to adequately disclose conflicts of interest to clients related to receiving $10.8 million from mutual funds and its clearing broker, the SEC says.August 30
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An RIA owner accused the custodian of aiding his chief compliance in setting up a competing firm.August 7
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At least two clients said they received calls from the advisor where he discussed his departure from the firm, according to the complaint.July 31
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Dynasty CEO Shirl Penney sees it as an option down the road.July 18
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With 7 million accounts and more than $400 billion in assets, Karl Roessner’s firm can be selective as it expands into wealth management.July 16
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More than one-third of the $1 billion new assets on the digital advice platform are from new clients.July 16
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The brokerage may pay about $2 billion for the additional advisory clients, according to reports.July 15
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The custodial bank says it has reimbursed the affected clients with interest.July 3
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Six months in, the wirehouse is taking an unusually hands-on approach in its first foray into the RIA space.June 24
