Articles Jon is Quoted In:
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Newbridge Securities to be bought by foreign wealth management firm
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NPH advisors left with little time to make fraught LPL decision
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LPL Offers Retention Deals to NPH Advisors
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Tom Bradley’s Sad, but Unsurprising, Exit From TD Ameritrade
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MetLife cutting annuity pay to some of its former advisers
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Recruiting Speeds Up
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For small B-Ds, becoming part of a branch office of a larger firm is a viable exit strategy
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H.D. Vest Drops First Clearing for Fidelity
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Is LPL’s Purchase of NPH Savvy or Reckless?
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LPL Pays $325 Million for Jackson National B/Ds
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Will LPL’s New NPH Reps Stay or Go?
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Kestra to Buy H. Beck, Add 600 Reps & Launch Robo
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National Planning Holdings CEO to advisers: No comment on LPL takeover talk
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Another Insurance Firm Sheds Broker/Dealer
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Recruiting Speeds Up
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DOL regulation translates into pay cut for some advisers
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Raymond James Financial Moving To Single Payout Grid
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Victor Fetter Is Out at LPL; Former AmEx, eBay Exec Is In
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Destination Unknown: The 2017 Broker-Dealer Presidents Poll
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LPL Shares Details on 108 Recruited Reps, Newest Partner & Tech Woes
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Large independent broker-dealers continue to make headway with recruits
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Ameriprise Acquires $8B Indie Brokerage
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Will Schwab’s New Hybrid Platform Steal Clients From Schwab RIAs?
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National Holdings Corp. acquires independent broker-dealer WFG Investments
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Who’s Moving to LPL?
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Dan Arnold, LPL's new CEO, to be in the spotlight during earnings call
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Ron Carson Completes Move From LPL to Cetera
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Wells Fargo Advisors Wins $23M in Baird Raiding Case
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Former Investors Cap CEO Resurfaces After a Costly Lesson
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LPL CEO Change Undermines Sale Rumors: Citi Analyst
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Casady Leaving LPL at ‘Challenging Time,’ Recruiters Say
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DOL Rule Could Force Broker Moves
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Ron Carson's jump from LPL a big win for Cetera
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FINRA Sweeps Broker-Dealers’ Cross-Selling Practices
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LPL Suitors Most Likely PE Firms
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LPL’s ‘Baggage’ May Spoil Search for Buyer: Nomura Securities
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Cetera Replaces CEO Roth With Moore as RCS Bankruptcy Woes Fade
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Roth Tells Cetera Reps He’ll Bring ‘Clarity’ on Leadership Soon
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Who’s in Charge at Cetera?
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LPL Shares Details on New Mutual Fund-Only Accounts
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LPL Sees Big Uptick in Recruited Reps
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FINRA Floats Rule Changes on Gifts, Noncash Comp
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McGinnis Steps Down as CEO of Advisor Group
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DOL, SEC Fee Scrutiny Sparks Shift to Passive Investing
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John Hancock swims against the tide, doubles down on independent broker-dealer business
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What It All Means
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Appointment of former LPL exec Robert Moore to Cetera's board could help embattled B-D restore its brand
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LPL To End Direct Fund Business
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DOL Storm Watch
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Cetera’s Roth: RCAP Filing Is ‘Fresh Start,’ With Money for Rep Retention
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LPL, Edward Jones Pre-DOL Rule Shifts: Smart Moves or Overreaction?
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The New Face of the Super OSJ
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Does the MetLife Deal Signal the End of the Insurance Agent?
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RCS Capital Files for Bankruptcy; Cetera to Use $50M for Retention
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What Will Lightyear Do With AIG Advisor Group?
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Wells Indie Channel Refines Recruiting Focus
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New owner of AIG Advisor Group may be announced Tuesday
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Embattled Advisors Get Relief From RCS Bankruptcy Plan
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RCS Capital Reveals Backers of Last Resort; Lightyear-AIG Deal Talk Grows
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LPL Puts Morrissey In Charge Of Recruiting In Shuffle
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As Cetera Splits From RCAP, Will Its Advisors Split, Too?
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With IBD Business Model Threatened, Who Wants to Buy One?
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John Hancock’s IBD Looks to Cut More Deals Next Year
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SEC Agrees to FINRA’s BrokerCheck Change on Posting Firings
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AIG Advisor Group for Sale: Who’s Likely to Buy It?
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Stifel CEO wants better results from Sterne Agee's independent B-D business
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Will Cetera Be Sold in a Fire Sale?
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Indie HD Vest Bought by Blucora, Maker of TaxACT, for $580M
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Tax Prep Software Firm Blucora Buys HD Vest for $580 Million
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What’s Next for LPL, Marcato & Casady?
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5 New Compliance Headaches for Advisors, BDs
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Voya takes on bigger rivals with new RIA channel
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SEC Finds Shady Practices in BDs' Structured Product Sales
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Broker-Dealers Facing Scrutiny From Several Regulators
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FINRA Sweeping BDs on Comp Practices
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As RCAP Shares Crash, Cetera Recruiting and Retention Could Suffer
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Investor Warning: Keep an Eye on J.P. Turner Brokers After Shutdown
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A Slowdown In The Big Migration
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Cetera Shuttering Broker-Dealer, Pushing Out Some Reps
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Cetera closing J.P. Turner, offering some brokers jobs at Summit
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Head of Lincoln's IBD Steps Down to Lead ProEquities
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LPL Financial Pays to Bring Assets Over
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Two Roads For Small B-Ds
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FINRA Floats ‘Watered Down’ BrokerCheck, Broker Bonus Rules
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LPL Pushes Upstream to Court HNW Clients
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Another Small B/D to Close Up Shop
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Ameriprise To Buy Florida-Based JHS Capital
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The Next Rung
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Can a Site Built on Broker Rumors Make Money?
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Wells Fargo’s Indie Channel Growing Faster Than Captives
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Another Key Executive Departs LPL
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Cambridge Joins Ranks of IBDs Abandoning Schorsch
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AIG's Four B-Ds Suspend ARCP REIT Sales
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Spike in Finra, SEC regulation leaves star brokers exposed
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Raymond James Coddles Ex-Wirehouse FAs
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RIA Assets Jumped 12.6% in 2014: IAA/NRS Study
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FINRA’s Big-Brokerage Loyalty Revealed in New Bonus Plan: Lawyer
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Ladenburg Thalmann to buy Securities Service Network for $45M
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Advisers Must Avoid 'Due-Diligence Lite' on Asset Managers
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One Strike, You're Out: FINRA looking more closely at IBDs with high-risk brokers
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As Kleintop Leaves LPL for Schwab, Will Morale Suffer?
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Schorsch Scores Another IBD
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Ladenburg Thalmann to Acquire KMS Financial Services
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Consolidation 2014: Ladenburg to Buy KMS Financial for $24 Million
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The Ten to Watch 2015: Errin Ford
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RCAP’s Profit Jumps 12% as B/Ds Are Integrated
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Searching High And Low
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Another Insurer Exits the B/D Business
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LPL losing a top recruiter
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Securities America buying Dalton Strategic Investment Services
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What Does First Allied’s New Parent Company Look Like?
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Facing The Challenges
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IBD Advisors Gripe About Fees
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Is AIG Advisor Group the next big fish Schorsch wants to land?
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Cetera CEO Valerie Brown Steps Down; Larry Roth to Run RCAP's IBD Group
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Sterne Agee Group in deal to acquire midsize independent broker-dealer WRP Investments
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Berthel Fisher has new lease on life
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What hurt LPL's recruiting recently? Old Man Winter
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What’s Next For Nick Schorsch?
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Schorsch's RCS Capital moves to keep its 9,000 registered reps in the fold
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Did Schorsch Overpay for Cetera?
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AIG Hones Its Network Amid A Pullback
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Schorsch Snaps Up J.P. Turner as Buying Spree Continues
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Southwest Securities could be sold to big shareholder
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Schorsch’s Realty Cap to Buy Summit Financial for $49 Million
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FINRA Expands BrokerCheck to Include IARD Reports
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Want a Big Paycheck to Switch BDs? Beware the True Price
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John Sykes' JHS Capital Advisors challenged by annual losses, handful of Finra arbitration claims
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NEXT Financial Seen as Ripe for Schorsch’s Next Big Buy
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FINRA Warns BDs to Better Manage Conflicts of Interest
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Billionaire Schorsch to Buy Investors Capital, Hatteras Funds
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Finra backs incentive comp disclosure rule
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FINRA Broker Bonus Plan Would Be ‘Nonevent’ for Many Reps: Henschen
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Roth’s Exit From Advisor Group: ‘A Big Deal’
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LPL's paradox: Cut costs and outsource for growth
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FINRA Review, Investor Choice Act Highlight Arbitration Anomalies
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Stand-alone reps at LPL stand to see big fee hike
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LPL Financial's New Supervisory Rules Will Cost Reps
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First Allied Has New Owner
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LPL's hiring of general counsel not a knee-jerk reaction to scrutiny, CEO says
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What Does First Allied’s New Parent Company Look Like?
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First Allied’s Surprise Sale to REIT Creates ‘Whole New Dynamic’ for BDs
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FINRA’s New Public Arbitrator Rules Make Little Sense: Compliance Pros
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Questions raised about broker-dealer's financial health
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FINRA Pulls Plug on BrokerCheck Social Media Plan
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State Securities Regulators to Hike Exam Fees for Series 63, 65 and 66
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LPL’s Latest Shot in Tech ‘Arms Race’: Naming Ex-IT Exec to Board
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Expected boom in breakaways a dud so far
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Broker-Dealers Fight For Advisors, Scale
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FINRA Seeks Second Round of Comments on Markups, Commissions Plan
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Faking It: Our Third-Annual IBD Report Card Survey
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IBD Recruiters: Advisors Demanding More Than Ever, Especially Money
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A tough recruiting environment
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FINRA to Mull Broker Compensation Disclosure Rule
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Defying the Odds
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DeWaay Financial closing its doors
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Are Independents Here to Stay?
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The New Velvet Rope? B/D Admissions Down Dramatically
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Woodbury reps set to cash in: recruiters
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Another IBD-Seller of Private Placement Closes Up Shop
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Finra's fee hikes will KO some smaller firms
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AIG Emerges As Likely Acquirer of Woodbury
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Non-Traded REITs: Not the Next Madoff
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AIG Emerges as Most Likely Buyer of Woodbury Financial Services
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Surprise Suitor Emerging in Sale of Woodbury
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Newbridge Securities in Regulators’ Sights, Again
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Making Way for Breakaways
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Was Fusion Feeding Into NFP’s Rollup Model?
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Marine Resident Recognized
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Breaking Out: A New Era in Insurance
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So why did Schwab X out brokersXpress?
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Jon Henschen: The 2012 IA 25 Extended Profile
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Could Allianz Chief Buy Old Firm?
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Call In... The Specialists
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FINRA to Restructure BrokerCheck, Giving Investors More Power
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1,600 Woodbury reps await fate after Hartford purge
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Amid Hartford Split, Woodbury’s 1,600 Reps Face Tough Choice
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The Hartford Breakup: What It Means for Woodbury Reps
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Lincoln to hit some RIAs with up to $20K in new fees
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FINRA to Restructure BrokerCheck, Giving Investors More Power
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The Big Shrink: Independent Broker Dealer Report Card 2012
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More wirehouse brokers expected to bolt this year
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Consolidation 2012: Lincoln Scoops Up Capital Analysts for HNW Foothold
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Cetera Acquires Genworth, Rounds Out Business Mix
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Insurer-owned indie B-Ds going the way of VHS?
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Broker-Dealer Pacific West to Close Its Doors
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Mid-Sized IBD Shifts Into Growth Mode
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Ladenburg Thalmann to Buy Securities America
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BofA’s Darnell Vows to ‘Get Out of the Way’ as Leader of Merrill Brokers
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Securities America Sale: Final Price Could Be $220 Million; Big Retention Bonuses
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The Good, the Bad and the Ugly
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Securities America Sale: ‘Amazingly Low Price,’ Expert Says
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SAI Sale to Ladenburg Mostly a Positive for Reps—Depends on Retention Packages
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Securities America Settlement May Speed Up Its Sale
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Hard Time for BDs on the Block to Find Suitors
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2011 Broker-Dealer Presidents' Poll
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Indie Winners: America's Top Independent Brokerages
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Sale of Securities America, Morgan Keegan Hindered by Weak M&A Environment
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Ladenburg Thalmann Possible Buyer in Securities America Sale
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Sale of Securities America: Advisors Should ‘Run,’ Recruiter Says
