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Summary: VIDEO (4:09) Individuals can be faster on their feet than slow-moving institutions led by committee.
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Summary: Citing post-DOL-rule concerns about serving their super-rich clientle and hungering for more alternative alternatives, Paul Pagnato and David Karp have ankled the captive brokerage world but are keeping ties to the Chicago roll-up
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Summary: Fending off cyberfraud is often portrayed as a battle with hackers employing sophisticated technology, but the weakest link at most firms is typically low-tech: their employees and clients.
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Summary: Since I started writing this column four years ago, I’ve been assigned to deal with the journey of a younger financial planner. While most of my columns have focused on this topic, sometimes I have discussed subjects that are often avoided.
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Summary: Securities and Exchange Commission officials addressed enforcement priorities at the agency, including cybersecurity, insider trading and financial reporting, in a panel discussion at the Rocky Mountain Securities Conference in May. The conference is co-sponsored by the SEC and the Business Law Section of the Colorado Bar Association.
