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By Marlene Y. Satter, AdvisorOne |
October 25, 2012
Among recent SEC and FINRA actions were Cantor Fitzgerald being censured and fined and FINRA imposing a $14 million settlement on a Hong Kong-based firm charged with insider trading.
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By Michael E. Kitces |
August 10, 2012
Having your prospecting done by a third-party service doesn't eliminate the sales part of the process; for better or for worse, you still have to turn the prospects into clients.