retail customers

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  The 2012 IA 25

  By Editorial Staff  |  April 24, 2012

  Some people ride a wave and some people, like the honorees of the 10th annual IA 25, create a wave.

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  FocusShares CEO Says ‘We’re the Best Deal on Wall Street’: IMCA Conference

  By John Sullivan, AdvisorOne  |  April 23, 2012

  The products, already in the low-cost ETF industry, boast even lower costs when compared with rivals.

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  FINRA Panel: David Lerner Associates Sold Marked-Up Munis, CMOs

  By Melanie Waddell, AdvisorOne  |  April 5, 2012

  A FINRA hearing panel ruled on Wednesday that Long Island-based David Lerner Associates charged excessive markups on municipal bond and CMO transactions over a two-year period.

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  Securities Experts Release SIPC Modernization Report

  By Marlene Y. Satter, AdvisorOne  |  February 22, 2012

  The 68-page report, the results of which include actions taken based on public comment and concerns voiced by members of Congress, includes 15 recommendations that cover everything from increased protections for consumers to continuing public education.

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  Citibank Cuts 80 Wealth Investment Consultants

  By Melanie Waddell, AdvisorOne  |  October 14, 2011

  Citibank announced Friday that as part of a 'strategic decision' by Citibank and Citigold Wealth Management leadership, the Citi Personal Wealth Management Investment Consultant role 'will be discontinued.'

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  The Wall Street Journal’s Contribution to the Fiduciary Argument

  By Bob Clark, AdvisorOne  |  August 30, 2011

  A WSJ editorial on retirement plan protection is the best argument why all financial advisors who advise retail customers should be subject to a fiduciary standard.

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  Top 4 Dodd-Frank Concerns as Law Enters Second Year

  By Melanie Waddell, AdvisorOne  |  July 21, 2011

  For advisors, four issues will take the spotlight as the Dodd-Frank reform bill enters its second year—fiduciary duty, an SRO for advisors, harmonization, and adequate funding for the SEC.