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Financial Advisers Back In Court and Customers Get Caught In The Middle

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Late last year, Morgan Stanley and UBS withdrew from the Protocol for Broker Recruiting, followed closely by Citigroup in January. Morgan Stanley and UBS together account for almost half of the approximate 50,000 registered securities representatives (stock brokers) employed by the four major wire houses (Morgan Stanley, UBS, Merrill Lynch, and Wells Fargo).

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