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Articles Posted in Aspiring Legacy Financial Advisor Core Program

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ARE RETIRING FA SUNSET PLANS RIFE WITH ABUSE?

It has been reported that Morgan Stanley conducted a “nationwide probe” of abuses associated with its Former Advisor Program, a sun-setting plan that allows retired FAs to receive a split of fees and commissions paid by former clients.  Further to this reporting, we conducted a survey of FINRA AWCs issued…

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