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Articles tagged "Lloyd Painter"

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Eric Schwartz: The SEC and FINRA obviously didn’t ask the right questions when they were in Madoff’s office. So, there’s a much higher burden (now) and they don’t go by the same cook book.

Cambridge, Commonwealth see reverse breakaways due to compliance fears

Some IBDs are morphing into Super RIAs that make money by charging for oversight of fee-based assets

March 7, 2011 at 1:29 PM

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