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Site Map for February 2014
Date
Title
Feb 28, 2014
Employees take legal action against their company's 401(k)
Feb 28, 2014
Gross-El-Erian rift grows
Feb 28, 2014
Cantor's big splash
Feb 28, 2014
Fact vs. fiction on 'The Wolf of Wall Street'
Feb 28, 2014
'Alpha is not dead,' Yale declares
Feb 28, 2014
What the new surge to U.S. equities means for the markets
Feb 28, 2014
Former Barclays broker ordered to repay $3.25M on loan default
Feb 28, 2014
Pimco names four more deputy CIOs in wake of El-Erian's departure
Feb 28, 2014
Could Ivascyn be Gross' heir apparent at Pimco?
Feb 28, 2014
Investors go berserk over Bitcoin trading platform
Feb 28, 2014
Bitcoin is soaring, but financial advisers are steering clear for now
Feb 27, 2014
Duration of marriage and divorce affect Social Security benefits
Feb 27, 2014
7 tips for marketing to physicians
Feb 27, 2014
Study: SEC staff sold shares before cases made public
Feb 27, 2014
Best practices for best tech execution
Feb 27, 2014
Why customer service reps are the backbone of your firm
Feb 27, 2014
The surprising hidden value of automation
Feb 27, 2014
SEC gains power to take profit made for firms by insider trading
Feb 27, 2014
Emerging markets bloodbath highlights up-and-comer ETFs
Feb 27, 2014
United Capital holds tight to its purse strings
Feb 27, 2014
There is life in the old bond dog yet
Feb 27, 2014
Investors of all asset levels attracted to self-directed trading platforms
Feb 27, 2014
New ETFs are hedged against credit and interest rate risk
Feb 27, 2014
Advisers: 5 reasons to vet 5 firms before making a move
Feb 27, 2014
Finding succession solutions under your nose
Feb 27, 2014
To attract advisers, broker-dealers need to find a value proposition that stands out
Feb 27, 2014
New deal could build competition among China-stock ETFs
Feb 27, 2014
Four recruiting trends for 2014
Feb 27, 2014
Goldman attracts record deposits to bond fund
Feb 27, 2014
New strategy for equity investing during retirement ignites debate
Feb 27, 2014
In search of the perfect China ETF
Feb 27, 2014
Retirement expert Pfau talks options for withdrawal
Feb 27, 2014
Retirement income theories focus on meeting lifestyle goals or needs
Feb 26, 2014
Finra fines two IBDs owned by Ladenburg Thalmann a total of $1.275M
Feb 26, 2014
Women resist taking investment risks, survey shows
Feb 26, 2014
Five years since the bottom, looking at stocks' recovery
Feb 26, 2014
An ETF 'missionary,' Dave Camp's tax plan
Feb 26, 2014
Delaying tactic pays
Feb 26, 2014
New proposal to simplify tax code might make you wince
Feb 26, 2014
Edward Jones settles cold-calling case for $750,000
Feb 26, 2014
States taking their own capital gains bites, from big to small
Feb 26, 2014
Advisers reluctant to take plunge into political life
Feb 26, 2014
Emerging markets activity shows portfolio diversification key to performance
Feb 26, 2014
Emerging-markets fixed income: A constructive view for the discriminating eye
Feb 26, 2014
Ex-Merrill adviser sentenced to 10 years in prison
Feb 26, 2014
How much energy does the bull have left?
Feb 26, 2014
SEC eyes movement of funds between brokerage, advisory accounts
Feb 26, 2014
Individual advisers can be liable for money laundering, Finra warns
Feb 26, 2014
Two teams split Morgan Stanley to go independent
Feb 26, 2014
Morgan Stanley hits key growth target in 4Q as pretax profit margin reaches 20%
Feb 26, 2014
Getting a jumpstart on 2014 tax planning
Feb 26, 2014
Adviser issues lack Madoff moment
Feb 25, 2014
Credit Suisse's U.S. clients in limbo as prosecutors inch ahead
Feb 25, 2014
Risks lurk in annual 401(k) matches
Feb 25, 2014
Bitcoin trouble, another coin bonanza and Tesla shines
Feb 25, 2014
Who's most ready for retirement? Not Americans
Feb 25, 2014
Holding cash and making no excuses
Feb 25, 2014
The one mistake Buffett says you're making with your stocks
Feb 25, 2014
Watch out for states' capital gains bites
Feb 25, 2014
Stocks hit record, McDonald's gets competition and Buffett boils it down
Feb 25, 2014
Regulatory changes can't wait for midterm elections
Feb 25, 2014
Buffett warns of liquidity curse
Feb 25, 2014
The latest annuity innovation: Contracts with structured products
Feb 25, 2014
Indexed annuities gain popularity while rates remain low
Feb 25, 2014
Millennial investors shun stocks, survey says
Feb 25, 2014
Investing opportunities abound in Europe
Feb 25, 2014
Best S&P 500 sales since 2012 show economy spurs bull market
Feb 25, 2014
New Social Security tool debuts for advisers
Feb 25, 2014
Advisers: Being digital is no longer a luxury
Feb 25, 2014
Native apps: The adviser's best friend
Feb 25, 2014
Don't get greedy with Social Security strategies
Feb 25, 2014
Social Security benefits subject to a family maximum limit
Feb 25, 2014
Institutional investors moving more cash to diversified strategies
Feb 25, 2014
J.P. Morgan adds advisers managing more than $3.9B
Feb 25, 2014
It's here! A fund that invests in Bitcoin
Feb 24, 2014
Practice Makeover: Forming an action plan
Feb 24, 2014
The why and how of running for political office
Feb 24, 2014
Variable annuities
Feb 24, 2014
Why more advisers aren't running for office
Feb 24, 2014
Finding your digital rhythm
Feb 24, 2014
Advisers must act as 401(k) watchdogs
Feb 24, 2014
Einhorn: Don't be fooled by companies beating estimates
Feb 24, 2014
Competition brings out the best in financial planning students
Feb 24, 2014
Bull market lifts average 401(k) balance above $89K
Feb 24, 2014
New public opinion poll supports Social Security reform
Feb 24, 2014
New mobile app and website target secretive world of adviser recruiting
Feb 24, 2014
Dallas B-D to close; 'There's no joy in the business,' CEO says
Feb 24, 2014
Ex-Morgan Stanley adviser claims firm fired him for running for office
Feb 24, 2014
In rare move, Finra bars individual rep over nontraded REIT sales
Feb 24, 2014
National Planning slammed with $6.2M arbitration award
Feb 24, 2014
Capital gain distributions making a comeback
Feb 23, 2014
Investors socked by $80M annuities scam
Feb 23, 2014
Indexed annuities sales increased by over $5 billion in 2013
Feb 23, 2014
Pioneer forges ahead with liquid alternative mutual funds
Feb 23, 2014
3 decades of learning from mistakes
Feb 23, 2014
How to prep for a broker-dealer change
Feb 23, 2014
When buying puts to protect profits
Feb 23, 2014
Meet the Millennials: Five ways to attract the next generation of clients
Feb 23, 2014
In a tale of two muni markets, it's far, far better for advisers to find the middle ground
Feb 23, 2014
Detroit bankruptcy has surprising long-term implications
Feb 22, 2014
Buffett's market-beating skills revealed
Feb 21, 2014
Brokers' role as stock order router should be reviewed, SEC's Stein Says
Feb 21, 2014
Wealthy investors dumping cash and equities, buying alternatives
Feb 21, 2014
What's inside a Wall Street secret society party
Feb 21, 2014
SEC critic Mark Cuban tweets commentary at agency's conference
Feb 21, 2014
SEC unveils plan to investigate never-before-examined RIAs
Feb 21, 2014
Retirement action plan for middle-class boomers: Think cash flow, health care
Feb 21, 2014
Emerging markets get more attractive by the day
Feb 21, 2014
It's back! Market volatility sets advisers' defensive plans in motion
Feb 21, 2014
After turnaround, UBS caps off banner year
Feb 21, 2014
WAMCO to pay $21 million to settle SEC charges
Feb 21, 2014
UBS sees recruitment pay off in the fourth quarter
Feb 21, 2014
SEC names new enforcement chief for complex products
Feb 21, 2014
What new scrutiny of life insurance captives means for advisers
Feb 21, 2014
New year could bring a boon for annuities
Feb 21, 2014
In taper move, Fed inspires confidence in stock and bond investors
Feb 21, 2014
Could alternatives fit in retirement portfolios?
Feb 21, 2014
Is gold still an attractive investment?
Feb 20, 2014
Online brokerage Motif introduces flat fees for advisers
Feb 20, 2014
Rate-of-return analysis shows value of delaying Social Security
Feb 20, 2014
What's Apple got up its sleeve?
Feb 20, 2014
SEC says investors need to know more about fees
Feb 20, 2014
Should you carry a mortgage into retirement?
Feb 20, 2014
Could hedge fund net inflows triple this year?
Feb 20, 2014
Schwab aims to help breakaways skip IBDs on path to independence
Feb 20, 2014
Michael Jackson vs. IRS: Thriller battle over value of the estate
Feb 20, 2014
Fidelity operating income surges on stocks rally
Feb 20, 2014
Pershing introduces NetXInvestor portal for individual investors
Feb 20, 2014
SEC zeroes in on brokers with high rollover batting averages
Feb 20, 2014
Millennials chary of long-term investing
Feb 20, 2014
Fidelity's Johnson looks internally to replace O'Hanley
Feb 20, 2014
Emerging-markets selloff sparks global concerns
Feb 20, 2014
Fidelity president O'Hanley to leave in February
Feb 20, 2014
Buy your way toward higher assets under management
Feb 20, 2014
7 business-building lessons advisers can learn from Amazon
Feb 20, 2014
Careful: Corporate credit card charges can kill a career
Feb 20, 2014
Move beyond mere advertising with these 9 questions
Feb 20, 2014
25 ways for advisers to make their future better than their past
Feb 20, 2014
Morgan Stanley tweaks compensation plan
Feb 20, 2014
The secret tool to help advisers delegate
Feb 20, 2014
SEC to take 'swipe' at RIAs that have never been examined
Feb 20, 2014
Finra nudging brokers toward a fiduciary standard?
Feb 20, 2014
Face it: Americans resent how well industry is paid
Feb 20, 2014
Advisers missing opportunity as Gen Xers short on life insurance
Feb 19, 2014
How to pick apart charitable trusts
Feb 19, 2014
Mary Beth Franklin: Mitigating Medicare costs
Feb 19, 2014
Don't be fooled by companies beating estimates
Feb 19, 2014
Reducing the costs (and hassles) of expense reporting
Feb 19, 2014
Breaking up is hard to do
Feb 19, 2014
Buffett's hedge fund strategy leaves much to be desired
Feb 19, 2014
Investment advisers have come around to ETFs
Feb 19, 2014
What's next for Nicholas Schorsch and RCS Capital?
Feb 19, 2014
Cash-strapped SEC to streamline exams for some RIAs
Feb 19, 2014
SEC seeks to examine advisers never reviewed before
Feb 18, 2014
Investing opportunities abound in Europe
Feb 18, 2014
Breakfast with Benjamin: Obama's budget blueprint
Feb 18, 2014
Merrill Lynch nabs $400M team from Morgan Stanley
Feb 18, 2014
Former adviser to the stars hit with fraud charges
Feb 18, 2014
The Oracle strikes again
Feb 18, 2014
Emerging markets bloodbath highlights up-and-comer ETFs
Feb 18, 2014
Pros panic while retail investors stay cool
Feb 18, 2014
Gold rides high on the taper effect
Feb 18, 2014
Optimism from money management giants fails to stem outflow in emerging stocks
Feb 18, 2014
Global AUM to reach $100 trillion by 2020
Feb 18, 2014
'Fear of missing out' drives T3 agenda as tech news comes fast and furious
Feb 18, 2014
Advising Olympians is a test of mettle
Feb 18, 2014
WJB Capital executives charged in scheme to prop up firm
Feb 18, 2014
You can thank or blame Richard Stanger for writing 401(k)
Feb 18, 2014
TD Ameritrade launches package of retirement plan services for RIAs
Feb 18, 2014
Sen. Harkin pushes privately run retirement plan
Feb 18, 2014
Obama unveils savings proposal for workers lacking 401(k)
Feb 18, 2014
Is LPL Financial a $60 stock?
Feb 18, 2014
Goldman's first closed-end fund IPO raises $826 million and hopes for sector
Feb 17, 2014
Hard work undone by election year politics
Feb 17, 2014
Warning signs you're at risk of an audit
Feb 16, 2014
Consider new uses of reverse mortgages for clients
Feb 16, 2014
A thaw in Washington?
Feb 16, 2014
The global bond market's potential
Feb 16, 2014
Finra comes in from out of the cold
Feb 16, 2014
Face the new retirement reality
Feb 14, 2014
This retirement expert got death threats for her policy reform ideas
Feb 14, 2014
Ways you're leaving money on the table
Feb 14, 2014
Client's got stars in his eyes? Insist on a prenup
Feb 14, 2014
U.S. equity funds saw sharp outflows last week
Feb 14, 2014
Fed chief Yellen sees few risks to divert from QE tapering
Feb 14, 2014
Adviser goals, company policies shape social media content strategies
Feb 14, 2014
Advisers star in 'Practice Makeover' video series
Feb 14, 2014
Schwab debuts all-ETF 401(k) platform
Feb 14, 2014
Helping clients in times of grief
Feb 14, 2014
Adapt or die: 5 ways advisers must embrace change
Feb 14, 2014
Schwab to give unhappy clients a fee refund
Feb 14, 2014
$1B cost to harmonize adviser-broker rules would land on clients, Schwab's Bernie Clark says
Feb 14, 2014
Another view of social media: Stop hyping it
Feb 13, 2014
Finra faces discrimination suit from fired manager
Feb 13, 2014
He needed a script: Actor Philip Seymour Hoffman left a legal mess behind
Feb 13, 2014
Think cash flow, health care for your retirement
Feb 13, 2014
Gen X needs advisers to help them ride the coming wave
Feb 13, 2014
Michael Jackson vs. IRS: Thriller battle over estate value
Feb 13, 2014
Bad Apple: REITs fined $1.5 million for disclosure violations
Feb 13, 2014
The beauty of truth
Feb 13, 2014
Bill Gross compares Chinese economy to 'mystery meat'
Feb 13, 2014
Finra moves to allow arbitrators to call for enforcement midcase
Feb 13, 2014
Finra aims to prohibit brokers' demanding clean records as a condition of settlement
Feb 13, 2014
Raymond James net revenue for fiscal first quarter hits record, up 7% from a year earlier
Feb 13, 2014
Review marriage implications with same-sex couples – or be on the hook
Feb 13, 2014
How advisers can overcome the success paradox
Feb 13, 2014
Shop for groceries? OK. Throw a party? Sure. Drive a client to Mexico? No problem
Feb 13, 2014
Advisers brave polar vortex's brutal cold
Feb 13, 2014
Lessons in leadership from Nelson Mandela
Feb 13, 2014
Advisers to furloughed workers: Take a deep breath, stay calm
Feb 12, 2014
Surprises in store for advisers at T3 conference this week
Feb 12, 2014
Franklin Templeton lifts Ukraine bet by over $250 million
Feb 12, 2014
Lead-gen site aims to match advisers and clients through data analysis
Feb 12, 2014
Fidelity names Morrison to head asset management
Feb 12, 2014
Social media gaffes advisers don't know they're making
Feb 12, 2014
Don't allow yourself to become digitized, marginalized or off-shored
Feb 12, 2014
How to grow your practice in today's complex marketplace
Feb 12, 2014
The most challenging question an adviser could ever be asked
Feb 12, 2014
A credit freeze could complicate your Social Security sign-up process
Feb 12, 2014
Why advisers are killing Facebook
Feb 12, 2014
Social media trends among advisers
Feb 12, 2014
BlackRock's Fink calls market drop 'old-fashioned correction'
Feb 12, 2014
Dennis Stattman's 25-year balancing act
Feb 12, 2014
Fed tapers another $10B a month; stocks extend losses
Feb 12, 2014
Client prospecting tool using LinkedIn sparks debate
Feb 12, 2014
As an investor, Yellen plays it safe
Feb 12, 2014
Yellen's record-low Senate support reflects Fed's politicization
Feb 12, 2014
5 steps to a stronger social-media presence
Feb 12, 2014
Is Pinterest useful for financial advisers?
Feb 11, 2014
Racing with Tesla
Feb 11, 2014
How much energy does the bull have left?
Feb 11, 2014
New ways to deal with rising risk in stocks and bonds
Feb 11, 2014
Inside Pimco's Income Strategy fund
Feb 11, 2014
Investors shift record amounts from U.S. stocks to bonds
Feb 11, 2014
Cry me a river: Tears of fear or tears of joy
Feb 11, 2014
Tool to evaluate rate of return vs. benchmark to be unveiled
Feb 11, 2014
In El-Erian departure wake, Seidner joins Grantham Mayo from Pimco
Feb 11, 2014
Cold weather offers hot investment plays
Feb 11, 2014
Energy efficiency: Taking advantage of growth opportunities
Feb 11, 2014
Hedge funds raise gold wagers as Chinese demand increases
Feb 11, 2014
The 3 most important topics advisers will discuss with clients in 2014
Feb 11, 2014
Alive! Former adviser disappeared after allegedly ripping clients off captured
Feb 11, 2014
Private-equity giants set their sights on alternatives for mom and pop
Feb 11, 2014
Invesco makes a big push into alternatives
Feb 11, 2014
Carlyle Group joins hedgies' rush into liquid alt mutual funds
Feb 11, 2014
Schorsch continues to expand horizons with liquid alts firm
Feb 11, 2014
KKR's first closed-end fund falls flat
Feb 10, 2014
Going from 'good' to 'great'
Feb 10, 2014
Finra seeks greater transparency in nontraded REIT statements
Feb 10, 2014
Huge nontraded REIT getting liquid?
Feb 10, 2014
AssetMark adds Finance Logix financial planning software
Feb 10, 2014
When your technology makes work difficult, it's time to look around
Feb 10, 2014
Delayed retirement credits accrue, but are not compounded
Feb 10, 2014
Gross: Focus on shorter maturities as inflation trumps jobs
Feb 10, 2014
Online platforms a growing threat to traditional advisers
Feb 10, 2014
'Wow' rewards replace bonuses
Feb 10, 2014
Scottrade edges out Schwab among do-it-yourselfers in J.D. Power ranks
Feb 10, 2014
Discount brokers no longer trading at a discount
Feb 10, 2014
Top-performing advisers increase mobile device usage
Feb 09, 2014
Finra board set to reconsider BrokerCheck website link
Feb 09, 2014
Tool to evaluate rate of return vs. benchmark to be unveiled
Feb 09, 2014
Regulators' uphill battle for illiquid investment transparency
Feb 09, 2014
Happy employees are vital to success
Feb 09, 2014
Time for a gut check on risk tolerance
Feb 09, 2014
Social media as a pathway to new clients
Feb 09, 2014
Brokers' job to explain nontraded REITs
Feb 09, 2014
LinkedIn offers advisers some promising new features
Feb 09, 2014
Working social media into comprehensive marketing plans
Feb 09, 2014
Most frequently used social media compliance software
Feb 08, 2014
Stifel flying lazy circles over B-D stragglers
Feb 08, 2014
Defunct WJB Capital and two execs hid company's financial distress for years, Finra says
Feb 08, 2014
'Painful decision' as WJB shutters B-D operation
Feb 07, 2014
Why 2013 mutual fund flow trends should continue
Feb 07, 2014
Blame it on the weather?
Feb 07, 2014
What financial advisers are saying about this week's bumpy markets
Feb 07, 2014
All eyes on the jobs report as investors pull money from stocks
Feb 07, 2014
Warren Buffett's hedge fund bet might be sending the wrong message
Feb 07, 2014
After long wait, Schwab's all-ETF 401(k) platform opens for business
Feb 07, 2014
Reps react to Finra's proposed rule changes on nontraded REIT costs
Feb 07, 2014
The most commonly asked Social Security question
Feb 07, 2014
Financial advisers can add 3 percentage points to client portfolios: Vanguard
Feb 07, 2014
DOL set to take a look at 'brokerage windows' in 401(k) plans
Feb 07, 2014
Largest muni ETF's premium grows as fund exodus abates
Feb 07, 2014
Former Wells Fargo broker embroiled in insider beef
Feb 07, 2014
To follow the herd … or not
Feb 07, 2014
Companies start lining up floating-rate Treasury ETFs
Feb 07, 2014
Schorsch's American Realty to acquire Cole Real Estate in $6.85B deal
Feb 07, 2014
Schorsch's RCAP completes First Allied deal
Feb 06, 2014
Investors shift record amounts from U.S. stocks to bonds
Feb 06, 2014
Too aggressive?
Feb 06, 2014
Top investment for millionaires? Real estate
Feb 06, 2014
New plan for Barclays advisers offers more even ratio between salary and bonus
Feb 06, 2014
Robo-adviser Wealthfront grows, but is it mainstream or just a niche?
Feb 06, 2014
How to cut out the wolf of Wall St.
Feb 06, 2014
What to do when clients aren't tech savvy
Feb 06, 2014
Online investment firm SigFig steps into managing money
Feb 06, 2014
Transition essentials for advisers changing broker-dealers
Feb 06, 2014
Finra booted 16 rogue brokers this year, targeted 26 more for 'action'
Feb 06, 2014
Securities America brings succession listing site to Ladenburg network
Feb 06, 2014
HighTower COO LaMena adds president to title
Feb 06, 2014
Securities America lures back advisory team managing $414M
Feb 05, 2014
Raymond James moves data center to Denver
Feb 05, 2014
Mary Mack launches opening salvo as head of Wells Fargo Advisors
Feb 05, 2014
New ETFs bet on developed markets while skirting currency risk
Feb 05, 2014
Workflows: The Key Ingredient to a Sustainable & Sellable Business
Feb 05, 2014
New iShares ETFs let investors bet on developed markets while skirting currency risk
Feb 05, 2014
Wholesalers: The spies of Wall Street
Feb 05, 2014
Sustained drop in stocks not likely despite uncertainties, global worries
Feb 05, 2014
BlackRock's Fink warns of 'too much optimism' in markets
Feb 05, 2014
Advised investors underperformed self-directed ones in 2013, SigFig data show
Feb 05, 2014
Muni bond contrarian stands firm
Feb 05, 2014
Schorsch buys independent broker-dealer J.P. Turner in second deal this week
Feb 05, 2014
How technology made our SEC audit easier
Feb 04, 2014
David Lee Roth on how to get a jump on building your business
Feb 04, 2014
Lessons advisers can learn from Olympians
Feb 04, 2014
Stock market strategists call for calm after global stock wipeout
Feb 04, 2014
Investment Perspectives: With Ivy's Mike Avery
Feb 04, 2014
Not so super
Feb 04, 2014
Breakfast with Benjamin: Fed shrugs off market selloff and sticks to taper plans
Feb 04, 2014
Stocks extend January slide, hit by weak earnings, emerging markets turmoil
Feb 04, 2014
Tech that boosts business value
Feb 04, 2014
More bad news for gold
Feb 04, 2014
Big miss: Advisers seldom discuss retirement living arrangements with clients
Feb 04, 2014
Do you have inbound marketing KPIs? You should
Feb 04, 2014
Advisers back SEC initiative on exams
Feb 04, 2014
Fiduciary ball squarely in commission's court
Feb 03, 2014
Companies from Facebook to JPMorgan squeeze 401(k) plans
Feb 03, 2014
RETIREMENT BUSINESS OPPORTUNITY
Feb 03, 2014
Advisers differ on whether in-house investment management is a plus
Feb 03, 2014
Bullish Super Bowl theory hits snag as S&P 500 extends drop
Feb 03, 2014
Advisers skeptical about Obama's “myRA” proposal
Feb 03, 2014
Age matters in Social Security-claiming strategies
Feb 03, 2014
CFP Board will switch to electronic exams later this year
Feb 03, 2014
Outside pressure helps change CFP Board's mind on offering continuing-ed program
Feb 03, 2014
Withdrawals pick up steam at Gundlach's DoubleLine
Feb 03, 2014
Street appeal: Motif Investing attracts the interest of Goldman Sachs
Feb 02, 2014
Fidelity aims to help advisers see how different market conditions impact fixed income portfolios
Feb 02, 2014
Wealth manager thrives on 'do it yourself' culture
Feb 02, 2014
Did January set the tone for 2014?
Feb 02, 2014
You can ease income inequality
Feb 02, 2014
Huge nontraded REIT getting liquid?
Feb 02, 2014
Taking advantage of energy efficiency
Feb 02, 2014
A whirlwind week of conferences
Feb 02, 2014
Public pensions offset Social Security
Feb 02, 2014
Regulators train a close eye on alternatives
Feb 02, 2014
Japan: Still a bear or 800-lb. gorilla?
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