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The Investment Adviser Association is worried the potential rules would duplicate protections that already exist, according to the organization’s general counsel.
John J. Woods pleaded guilty last year to a scheme that spanned more than a decade and harmed hundreds of investors throughout the country, according to the Justice Department.
Former UBS advisor Barry Mitchell discusses why he messed with success in the quintessential narrative for financial advisors around how to think about change, due diligence, the transition process and more.