servicing strategies Special Issue November 2009

Measuring up

How do your fee practices rate?

Reported by

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Compliance

July 18th, 2023

The agreement is still pending court approval but would end 7-year court case.

Compliance

May 12th, 2023

The brokerage and investment bank was expelled for misrepresenting its fee structure, churning accounts and failing to properly supervise and...

In Practice

January 12th, 2023

Employers are leveraging NQDCs for retention use at increasing rates, with 30% having a noncompete provision.