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Wirehouse walls set to come tumbling down?
March 17, 2010
Right now, defections to other firms aren't that common. But the big Wall Street firms could soon see an exodus of top-level brokers
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Investments
Wealthy art investors, including John McEnroe and De Niro estate, snookered in $100M scam
The tennis great, as well as the estate of actor Robert De Niro's father lost millions in the scam, according to one attorney
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Your Practice
Reader favorite
Surprise audit trips up star Seattle adviser
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RIAs
Wealthy art investors, including John McEnroe and De Niro estate, snookered in $100M scam
The tennis great, as well as the estate of actor Robert De Niro's father lost millions in the scam, according to one attorney
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Regulation
After Dodd's fiduciary disappointment, what's next?
There may still be hope, because financial reform legislation is far from being a foregone conclusion
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Shop talk
Want to short Toy Story 3, Karate Kid 2010? Now, investors can place bets on movies
Soon-to-be-premiered futures exchanges in Chicago and New York let investors wager on whether movies will be blockbusters or box-office death. Popcorn is extra.
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Broker-Dealers
Nobel laureate at independent B-D? Markowitz joins Dallas firm
The father of modern portfolio theory plans to spend plenty of face time with advisers at 1st Global Capital
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Wealth & Retirement
Wachovia will pay $160M to settle 'historic' money laundering case
Banking giant Wachovia Corp. will pay $160 million to settle a federal investigation into laundering of illegal drug profits through Mexican exchange houses in the largest case of its kind ever brought against a U.S. bank, prosecutors said Wednesday.
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Insurance
Insurance regulators to probe annuities sold to third parties
Insurance regulators state legislators plan to tackle the thorny issue of insurable interest with regard to annuity sales, preparing the groundwork for changes that could discourage stranger-originated-annuity transactions.
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Portfolio Manager Perspectives
Jensen Fund's Rob McIver: Look for companies with an international presence
Portfolio of just 29 stocks is constructed by screening out any company lacking at least a 10-year record of 15% or more return on equity.
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Print Edition
- TD Ameritrade ups RIA focus
- Kohl's oversight proposal is panned
- A delicate situation: Acquiring practices of the deceased
- High anxiety for clients amid tax time
- Putnam CEO Bob Reynolds off to a strong start, but challenges remain
- Too close for comfort: Dallas planner describes day a client shot two reps
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