'Who were the accountants? Lending securities can be lucrative,' a compliance executive says.
What's not clear is how many FiNet advisors will feel the sting of the fee increase.
More than two decades old, the NFLPA's registered player financial advisor program for years was limited to individual financial advisors.
Edelman Financial Engines is suing Mariner Wealth Advisors, alleging that Mariner is poaching its clients and running Edelman out of business.
The securities industry has a long, sad history of firms going out of business after a product like GWG bonds fails.
Jim McHale is the new chief compliance officer at LPL Financial.
Eaton's on-and-off career most recently had him working at CUSO Financial Services.
'Ironically, I think the redemption issue is the best thing ever happen to nontraded REIT space,' says Kevin Gannon of Stanger.
Expenses are rising: LPL Financial said in October that its core general and administrative expenses were up 15% year-over-year.
'The brokers are besides themselves, especially the independent brokers,' one source says.
