Credit Suisse

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  Top 7 Biggest Bank Fines

  By Dan Berman, AdvisorOne  |  January 11, 2013

  AdvisorOne finds that all of the biggest bank penalties have been levied in the last 10 years, with most of them since the financial crisis started in 2008.

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  Brokers Angered Over FINRA’s Bonus Disclosure Plan

  By Melanie Waddell, AdvisorOne  |  January 11, 2013

  Brokers and advisors wasted little time weighing in with their emotional comments on FINRA’s controversial plan to require brokers to disclose their recruitment compensation packages.

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  SEC’s Top Cop, Khuzami, to Leave

  By Melanie Waddell, AdvisorOne  |  January 9, 2013

  The SEC’s top cop, Robert Khuzami, plans to leave the agency later this month after four years as its enforcement director, the SEC announced Wednesday.

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  Wirehouses, IBDs Post Final Recruiting Wins, Losses of 2012

  By Janet Levaux, AdvisorOne  |  December 20, 2012

  Morgan Stanley, Merrill Lynch and other firms saw a number of advisors come and go at year end.

• Wirehouses, Others Actively Attract Reps

  By Janet Levaux, AdvisorOne  |  December 20, 2012

  In the final months of 2012, the wirehouse firms continued to recruit advisors from each other and from other broker-dealers.

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  Top 30 401(k) Plans of 2012

  By Ron Pechtimaldjian, AdvisorOne  |  December 12, 2012

  Brightscope, which provides retirement plan ratings and investment research, released its fourth annual Top 30 401(k) plans with more than $1 billion in assets.

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  Barclays Recruits 18 Advisors; Morgan Stanley Adds 1; LPL Group Brings on Wells Team

  By Janet Levaux, AdvisorOne  |  November 7, 2012

  The new Barclays advisors come from many wirehouse and other firms with close to $40 million in yearly fees and commissions, as well as about $9.4 billion in assets.

• Moody's Says Sandy Likely to Drive Further Rate Increases

  By Arthur D. Postal, PropertyCasualty360.com  |  November 1, 2012

  Moody’s reports that one positive result of Hurricane Sandy for insurance companies is that the event will likely help support price increases going into 2013.

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  UBS to Slash 10,000 Jobs

  By Marlene Y. Satter, AdvisorOne  |  October 29, 2012

  The actions are seen as a way for UBS to go "back to its roots" in the advisory business.

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  Credit Suisse to Slash $1.1 Billion More on Plunging Profits

  By Marlene Y. Satter, AdvisorOne  |  October 25, 2012

  It will cut additional jobs and possibly sell off its ETF business, seeking to make up for a drop in profits of 63%.