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FINRA Panel Orders Ameriprise Advisor to Pay Former Colleague $450,000

October 7th, 2026
A Financial Industry Regulatory Authority (FINRA) Dispute Resolution Services arbitration panel ordered veteran Ameriprise advisor Erin Cannell to ...

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Wells Fargo Advisors Moves to Further Reduce Producing Manager Roles

September 30th, 2026
Wells Fargo Advisors plans to further reduce the number of managers who not only manage the office but also maintain client books.

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Investment Adviser M&A Activity Slows After Record First Half of 2026

September 25th, 2026
Merger and acquisition activity among registered investment advisers slowed sharply in the third quarter after the industry posted a record first h...

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Whatever the next step is for your practice, ensure it remains your practice with the experienced transition consultants at Financial Advisor Transitions. Let us assess your wants and needs and help negotiate the best transition plan to propel your practice forward.
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