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November 16, 1912

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Edward Jones, LPL, and Others Penalized for Excessive Small-Dollar Transaction Fees

State securities regulators reached settlements with Edward Jones, LPL, and three other firms after allegations of unreasonable commission charges.

Companies

Morgan Stanley CEO Calls for Greater Advisor Focus on Alternative Investments

Morgan Stanley CEO Ted Pick is pushing for financial advisors to increase their clients’ exposure to alternative investments.

Practice Management

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