Misconduct Under the Microscope: Examining Bad Behavior …
4 March, 2018 Policy Brief Figure 2: Financial Adviser Misconduct by Firm 0.00% 5.00% 10.00% 15.00% 20.00% Oppenheimer Co Wells Fargo Advisors Financial Network Cetera Advisors National Planning Corporation Stifel Nicolaus Company Incorporated Morgan Stanley Wells Fargo Advisors Purshe Kaplan Sterling Investments Raymond James Financial Services Ameriprise Financial Services Suntrust ... ................
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