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By James J. Green, AdvisorOne |
April 11, 2013
The rebranding is designed to highlight ING’s U.S. operations as “America’s retirement company”; ING Financial Partners BD will be renamed as well.
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By Staff Writer |
October 1, 2008
The SEC announced September 11 that it had brought an enforcement action against LPL Financial Corp., saying the largest independent broker/dealer had failed to safeguard...
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By James J. Green, AdvisorOne |
August 19, 2008
ING Advisors Network announced a reorganization August 13 under which the presidents of its four constituent broker/dealers--Financial Network Investment Corporation, ING Financial Partners, Multi-Financial Securities, and PrimeVest Financial Services--will now report to John Simmers, CEO of ING Advisors Network.
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By Kara P. Stapleton |
June 1, 2007
NASD has fined two Fidelity broker/dealers for preparing and distributing misleading sales literature promoting Fidelity's Destiny I and II Systematic Investment Plans, which were sold...
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By Kathleen McBride, AdvisorOne |
September 1, 2006
When it comes to an innovative business model, West Palm Beach, Florida-based Contemporary Financial Solutions may have the most unique business plan: it welcomes lower...
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By James J. Green, AdvisorOne |
June 1, 2005
Twenty-five years ago, Investment Advisor was founded. Fifteen years ago, IA ran its premiere directory of independent broker/dealers. Much has changed over that time, and...
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By James J. Green, AdvisorOne |
April 1, 2005
Chris Kiley and Mike Huett stood in the front of the meeting room, taking their medicine as several dozen advisors demanded answers to a raft...