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Courts Could Force Broker Change On Fee-Based Accounts

Don Trone spoke on changes coming to some financial advisory relationships.

"In some cases, (brokerage firms) took the advisory engagement and broke it into pieces so it was no longer comprehensive," said Don Trone, chief executive of Fiduciary360, a consulting firm. "It might have met the letter of the law, but it certainly didn't meet the principals that were involved."


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