Rising markets produce happy investors who are less likely to file arbitration claims against their brokers.
Although the total number of arbitration claims rose 7% over the last year — 3,681 cases were filed in 2016 compared to 3,435 in 2015 — the total number remains far below the l
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A growing sentiment against restricting employee moves could affect non-solicitation, too.
While the CFP Board supports the proposal, the FPA has expressed concerns about the DOL rule potentially raising compliance costs for members, increasing the cost of advice and reducing access to advice for some.
‘If a firm values its human capital, then it will make an investment to make sure that their talent can flourish for the advancement of the bottom line,’ says Lazetta Rainey Braxton, co-CEO of 2050 Wealth Partners.
'I’d love to see the [full] SALT deduction come back but not if it means rates go up,' one advisor says.
Deborah Adeimy claimed firm blocked her from running in GOP primary, aide says 'we're unclear how award figure was calculated.'
