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Recent Posts
Don’t Alert Clients Before Defecting
SEC Chief Counsel Expresses Concern Over Broker/Dealer Exemptions Claimed by Private Funds
Brian Hamburger in the @WSJ pleads to brokers: “Don’t Alert Clients Before Defecting”
Brian Hamburger in the @WSJ on “How to Avoid Getting Caught Pre-Defection”
Dan Bernstein comments on regulation of an advisor’s use of credentials in @Reuters
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