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DOL Takes Class Action Off the Table for Now
The department said it would not bring claims against advisors or firms who fail to comply with the private right of action portion of the best interest contract exemption of the fiduciary rule. |
| Michael Thrasher The process of altering the rule in some capacity is now under way. |
| Michael Thrasher Timing can mean everything, and buyers are preparing to pounce. |
| Diana Britton “My backyard is now a fast-flowing body of water,” said Byron Ellis, managing director at United Capital in The Woodlands, Texas. |
| Diana Britton Here, we list some major firms and their efforts to help soften Harvey's devastating blow. |
| Michael Thrasher Phil Shaffer's new firm, Halite Partners, will serve institutions and ultra-high-net-worth individuals. |
| Diana Britton A Merrill Lynch advisor hangs up his license after 23 years with the firm to join Midland, Texas–based Syntal Capital Partners. |
| Ryan W. Neal The network of fee-based financial planners is growing in members and assets, and attracting more attention from the industry. |
| Ryan W. Neal A report from the World Economic Forum predicts three possible scenarios for advisors. |
| Matt Oechsli Most advisors have been trained as salespeople, making them tone deaf to the finer nuances of affluent sales. |
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