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February 24, 2011
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Blog, Securities Fraud
According to the Investment News, the following brokerage firms are the fastest growing (quantified by the percentage increase in the number of financial advisors) as of September 2010: 1 MidAmerica Financial Services Inc. 73.3% 2 Lincoln Investment Planning Inc. 67.1% 3 Quincy Cass Associates Inc. 50.0% 4 First
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January 18, 2011
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Blog, Securities Fraud
RANK Broker-dealer Total gross revenues 1 LPL Investment Holdings Inc. $2.8B • LPL Financial One Beacon St. Boston, MA 02108 joinlpl.com (888) 250-2420 $2.6B • Uvest 2810 Coliseum Centre Drive Charlotte, NC 28217 uvest.com (800) 277-8802 $195.2M 2 Ameriprise Financial Services Inc. 108 Ameriprise Financial Center
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October 29, 2010
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Blog, Securities Fraud
In or about 2009, FINRA fined 25 broker-dealers a total of $2,145,000 for failures related to their completion of FINRA’s (then NASD’s) firm self-assessment of mutual fund breakpoint discount compliance. The self-assessment required firms that sold front-end load mutual funds to review their compliance in
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