Minnesota

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  13 Ex-Football Players and Finance: The Good & the Bad

  By Dan Berman, AdvisorOne  |  January 24, 2013

  After success of varying degrees in the NFL or college football, nine former players took the high road and four others the very low road.

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  Commonwealth Grabs Monarch Retirement Group From SII Investments

  By John Sullivan, AdvisorOne  |  January 22, 2013

  The news comes on the heels of Commonwealth’s announcement that Schluchter Investment Advisors had joined the firm.

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  Securities America Adds 30 Eagle One Advisors in Second Small BD Deal in a Month

  By Joyce Hanson, AdvisorOne  |  January 9, 2013

  Eagle One intends to wind down operations, and most of its advisors have moved to Securities America.

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  SEC, FINRA Enforcement Roundup: Eli Lilly to Pay $29M to Settle Foreign Bribery Charges

  By Marlene Y. Satter, AdvisorOne  |  January 3, 2013

  The SEC recently charged Eli Lilly for violations of the FCPA and barred an Arizona-based fund manager from the industry after the fund’s collapse. FINRA ordered Pruco Securities to pay $10.7 million.

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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.

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  AIG’s Advisor Group Wraps Up Woodbury Purchase

  By Janet Levaux, AdvisorOne  |  December 3, 2012

  The combined IBD will have roughly 6,000 advisors with some $125 billion in assets.

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  New Hire Roundup: Wedbush Private Client Services Group Adds Wright

  By Marlene Y. Satter, AdvisorOne  |  October 31, 2012

  Also this week in new hires, Lance Losey and Mary Welk joined Ascent Private Capital Management and Michael Millman joined The Private Client Reserve in San Francisco.

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  Baird Adds UBS Branch Manager

  By Janet Levaux, AdvisorOne  |  October 26, 2012

  The branch manager, Karen Heintz, oversaw 24 advisors with $3.1 billion in assets.

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  Best and Worst 529 College Plans for 2012: Morningstar

  By Joyce Hanson, AdvisorOne  |  October 18, 2012

  What’s striking this year is the big pool of winners, a reflection of the improvement in the 529 industry since it hit bottom in 2008—and seven of the 27 medalists are advisor-sold.

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  Commonwealth Grabs $300M Team From First Allied

  By Janet Levaux, AdvisorOne  |  October 9, 2012

  The new group is based in Minnesota and includes four financial advisors.