“You can’t put any language in an agreement that would prevent a client from reporting a broker-dealer’s actions," says one attorney.
Be dubious about investment professionals who are marketing investments through an affinity group, one industry executive says.
"These types of brokers and executives are the scourge of the industry," said one plaintiff's attorney.
"I have small firm roots, just look at my dad," Jodie Papike said.
"Customers should use regulated industries to their advantage and hire career specialists in each area of their lives," said one industry executive.
"The appetite by financial advisors for private equity funds is super high right now," says one industry executive.
United Planners' Financial Services of America failed to supervise its salesman, according to Arizona.
The moves boost the authority of Tim Hodge and Dimple Shah in Osaic's management structure.
Why is this firm losing senior female executives, questions industry source.
"Highly leveraged wealth managers face the greatest competitive risk from an increase in rates paid to clients," according to Moody's.
