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Goldman Sachs' sweeping legal effort to crush 'United Capital' advisor exodus may prove largely meaningless -- with little chilling effect on flood of defections

The New York City investment bank is filing FINRA arbitrations with abandon as RIA departures pile up, but the squid may not get much sympathy -- in court or the court of public opinion.

Author Brooke Southall October 10, 2023 at 3:32 AM
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Ari Sonneberg: It would not be a good look for Goldman Sachs to be bullying small RIAs.
Keith Girard contributed to the editing of this article.

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October 4, 2023 at 2:16 AM

Marc Spilker adds Matt Brinker as chess piece -- and partner -- in what he calls a 'very selective' talent add to build platform-for-RIA platforms outside Wall Street

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January 15, 2020 at 2:42 AM

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July 23, 2024 at 1:40 PM

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Mentioned in this article:

United Capital Financial Advisers
RIA Welcoming Breakaways
Top Executive: Joe Duran

Creative Planning
RIA Serving Other RIAs
Top Executive: Peter Mallouk, JD, MBA, CFP®



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