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COURTIERS-CONSEILLERS-INTERMEDIAIRES
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| doc.1002-Tech.Yahoo Null 2008 Lost laptop.pdf |
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69.71 KB |
25 10, 2009 18:04 |
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| doc.1003-Carrick G&M 2007 online broker survey Globeadvisor.pdf |
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21.26 KB |
25 10, 2009 18:04 |
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| doc.1004-TD Waterhouse 2008 security guarantee.pdf |
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36.22 KB |
25 10, 2009 18:04 |
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| doc.1004F-TD Waterhouse 2008 garantie de sÚcuritÚ.pdf |
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37.46 KB |
25 10, 2009 18:04 |
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| doc.1005-TD Waterhouse 2008 client account agreement.pdf |
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243.7 KB |
25 10, 2009 18:05 |
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| doc.1005F-TD Waterhouse 2008 compte client .pdf |
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236.03 KB |
25 10, 2009 18:05 |
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| doc.1006-CERT 2008 Home computer Security.pdf |
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82.35 KB |
25 10, 2009 18:05 |
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| doc.1007-Milliondollarjourney.com 2008 Discount broker costs .pdf |
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176.12 KB |
25 10, 2009 18:05 |
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| doc.1109-Stingy Investor 2006 commission vs fee based.pdf |
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42.11 KB |
25 10, 2009 18:05 |
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| doc.1110-Preet 2007 Financial adviser categories.pdf |
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115.39 KB |
25 10, 2009 18:05 |
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| doc.1111- russell 2008 advisor fees.pdf |
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81.52 KB |
25 10, 2009 18:05 |
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| doc.1112- Ball 2008 financial advisers.pdf |
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75.73 KB |
25 10, 2009 18:05 |
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| doc.1113- james 2008 financial advisors.pdf |
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54.66 KB |
25 10, 2009 18:05 |
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| doc.1114- russell 2008 fee only advisors.pdf |
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108.79 KB |
25 10, 2009 18:05 |
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| doc.1115- macdonald 2007 fee only advice Commission or fee-only.pdf |
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156.61 KB |
25 10, 2009 18:05 |
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| doc.1116-Canadian Personal Finance Blog 2008 financial planner.pdf |
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131.11 KB |
25 10, 2009 18:05 |
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| doc.1118-CanadianCapitalist 2008 finding a financial adviser.pdf |
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459.62 KB |
25 10, 2009 18:05 |
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| doc.1119-chevreau 22 04 2008 Fee-only pioneers.pdf |
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31.98 KB |
25 10, 2009 18:05 |
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| doc.1120-hood 2008 fee-only planners Canadian Business Online.pdf |
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56.22 KB |
25 10, 2009 18:05 |
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| doc.1121- chevreau macdonaldshymko 2008 fee.pdf |
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32.01 KB |
25 10, 2009 18:05 |
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| doc.1122-chevreau 2008 fee only vs fee based.pdf |
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14.23 KB |
25 10, 2009 18:05 |
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| doc.1128 Banerjee 2008 Second Opinion..pdf |
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96.42 KB |
25 10, 2009 18:05 |
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| doc.1298- TheKirkreport 2009 Less antman.pdf |
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119.28 KB |
25 10, 2009 18:05 |
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| doc.130- schaumburg 21 11 2005 broker analyst recommendations.pdf |
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1.65 MB |
25 10, 2009 18:05 |
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| doc.1334-Preet 2009 The Importance Of Low Portfolio turnover...pdf |
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191.85 KB |
25 10, 2009 18:05 |
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| doc.1335- pareto 2009 Firing your financial adviser..pdf |
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38.91 KB |
25 10, 2009 18:05 |
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| doc.1336- Paladin Registry 2008 Should I Fire My Financial Adviser ...pdf |
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17.71 KB |
25 10, 2009 18:05 |
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| doc.1337- Goldberg The Atlantic 2009 financial adviser...pdf |
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99.25 KB |
25 10, 2009 18:05 |
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| doc.1338- Wealthy Reader 2008 Fire Your Financial Advisor...pdf |
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100.52 KB |
25 10, 2009 18:05 |
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| doc.1339- Pueblo GSA 2008 Financial Planner.pdf |
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45.74 KB |
25 10, 2009 18:05 |
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| doc.1340-Wisebread Dunn 2008 Firing your financial adviser.pdf |
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118.46 KB |
25 10, 2009 18:05 |
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| doc.1341- Jaffe 2008 Firing your financial adviser...pdf |
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37.36 KB |
25 10, 2009 18:05 |
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| doc.1342- Yager ConsumerAffairs 2008 Financial adviser.pdf |
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27.28 KB |
25 10, 2009 18:05 |
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| doc.1342A- Arends WSJ 2009 Firing your financial adviser...pdf |
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31.36 KB |
25 10, 2009 18:05 |
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| doc.1343- Financial Express 2009 Financial advisers..pdf |
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37.1 KB |
25 10, 2009 18:05 |
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| doc.1344- Yih Financial Post 2009 Financial Adviser..pdf |
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35.1 KB |
25 10, 2009 18:05 |
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| doc.1345- SavingAdvice.com 2008 Firing your adviser.pdf |
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34.02 KB |
25 10, 2009 18:05 |
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| doc.1346- FourPillars 2009 Broker transfer fees..pdf |
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57.96 KB |
25 10, 2009 18:05 |
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| doc.1347- MillionDollarJourney 2006 DiscountBrokerSurvey..pdf |
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406.72 KB |
25 10, 2009 18:06 |
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| doc.1348- Oates 2009 Siemens ditches consultants...pdf |
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33.66 KB |
25 10, 2009 18:06 |
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| doc.1379- JD Powers 2009 Discount Broker Investor Profile Survey.pdf |
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519.2 KB |
25 10, 2009 18:06 |
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| doc.1401- FSA 2009 Independent advice proposal cp09_18.pdf |
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917.46 KB |
25 10, 2009 18:06 |
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| doc.1419- MacDonald 2009 Value of Financial advisers vs. acad...pdf |
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125.41 KB |
29 10, 2009 11:24 |
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| doc.1564-0 CEDE 2009 phase 1 recherche comportements fautifs conseils financiers.pdf |
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33.58 KB |
03 03, 2010 23:15 |
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| doc.1564-1 crete brisson lacoursiere nacarato preventioon de la fraude rapport final volume1.pdf |
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460.07 KB |
03 03, 2010 22:57 |
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| doc.1564-2 Naccarato 2009 confiance et intermediaire financiers Partie_1__naccarato_.pdf |
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607.58 KB |
03 03, 2010 22:57 |
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| doc.1564-3 Crete Lacoursiere Duclos confiance et services financiers Partie_2__crete-lacoursiere-duclos_.pdf |
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585.65 KB |
03 03, 2010 22:57 |
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| doc.1564-4 crete 2009 confiance et industrie du placement Partie_3__crete_.pdf |
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651.69 KB |
03 03, 2010 22:57 |
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| doc.1564-5 Naccarato Leteurneau 2009 repression penale intermediaires de marches.pdf |
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572.29 KB |
03 03, 2010 23:15 |
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| doc.1564-6 CEDE 2009 Collque- table des matieres18 09 2009 Confiance et le systeme financier.pdf |
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372.47 KB |
03 03, 2010 23:15 |
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| doc.1564-6-247- Crete Naccarato Brisson Letourneau 2009 Prevention et services financiers.pdf |
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301.22 KB |
03 03, 2010 22:57 |
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| doc.1564-8 brisson Tache Zimmerman etc 2009 Attitudes des conseillers en placement Volume_2__22-12-2009_.pdf |
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534.52 KB |
03 03, 2010 22:58 |
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| doc.1564-9 Mabit 2009 sanction disciplinaires et representants de courtiers Volume_3.pdf |
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715.47 KB |
03 03, 2010 22:57 |
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| doc.1565- Hall 1986 Investment newsletters and the US supreme court Lowe decision.pdf |
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107.48 KB |
11 03, 2010 15:52 |
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| doc.1566- Cowles 1932 stock forecasters forecasters33.pdf |
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587.1 KB |
11 03, 2010 15:52 |
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| doc.1567- Yale Economics 2010 Cowles Alfred Cowles, 3rd (1891-1984).pdf |
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37.05 KB |
11 03, 2010 15:52 |
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| doc.1568- US supreme court 1985 LOWE V. SEC, 472 U. S. 181 ...pdf |
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266.62 KB |
11 03, 2010 15:52 |
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| doc.1569- McCarthy Tetrault 2006 adviser registration.pdf |
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86.05 KB |
13 03, 2010 16:48 |
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| doc.1570TS- Yew TheStar.com 2003 Costello conviction - Watchdog find...pdf |
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47.78 KB |
11 03, 2010 15:53 |
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| doc.1571- Ontario Divisional Court 2004 OSC vs Costello 2004canlii2651.pdf |
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102.84 KB |
11 03, 2010 15:53 |
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| doc.1572- OSC 2003 Costello decision OSC _ OSC Proceedings - Bef...pdf |
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52.8 KB |
11 03, 2010 15:53 |
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| doc.1572S- OSC 2003 Costello sentence OSC _ OSC Proceedings - Bef...pdf |
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15.51 KB |
11 03, 2010 15:53 |
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| doc.1573- Reynolds G&M 2002 Costello OSC reportonbusiness.com_ globe...pdf |
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63.34 KB |
11 03, 2010 15:53 |
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| doc.1573L- Hulbert Financial Digest 2010 list of newsletters Ne...pdf |
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57.94 KB |
11 03, 2010 15:53 |
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| doc.1574- RegisteredRep 2008 Hulbert Gurus_ The Investment Newsl...pdf |
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89.29 KB |
11 03, 2010 15:53 |
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| doc.1575- MoneyShow 2010 Hulbert Online Resource for Hulbert...pdf |
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84.71 KB |
11 03, 2010 15:53 |
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| doc.1576- Hulbert 3 10 2010 Active vs. passive investme...pdf |
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81.29 KB |
11 03, 2010 15:53 |
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| doc.1577- Hulbert 10 03 2010 Market forecasts Which letters called the ma...pdf |
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64.75 KB |
11 03, 2010 15:54 |
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| doc.1578- Buck 1999 Hulbert FundAdvice.com - Investment...pdf |
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68.39 KB |
11 03, 2010 15:53 |
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| doc.1579- CXO Advisory Group LLC 2010 Forecasting gurus - Gu...pdf |
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188.61 KB |
11 03, 2010 15:53 |
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| doc.1580- CXOAG Investing Notes 2010 Forecasting gurus excuses - Gur...pdf |
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51.75 KB |
11 03, 2010 15:53 |
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| doc.1581- Hulbert 2010 Investor sentiment index Advisory bullishness nears ...pdf |
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29.11 KB |
11 03, 2010 15:53 |
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| doc.1582- HubPages 2010 Hulbert investor sentiment index Mark Hulbert.pdf |
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32.97 KB |
11 03, 2010 15:53 |
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| doc.1583- CXOAG 2009 Hulbert index sentiment .pdf |
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125.52 KB |
13 03, 2010 16:48 |
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| doc.1625- Carrick G&M 2010 11th annual discount broker survey Globe and Mail_ The 11th an...pdf |
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87.13 KB |
03 05, 2010 20:36 |
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| doc.1626-J.D.Power and Associates 2009 Discount broker survey.pdf |
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198.43 KB |
03 05, 2010 20:36 |
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| doc.1627- Surviscor 2010 Winter 2010 discount broker ratings.pdf |
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68.85 KB |
03 05, 2010 20:36 |
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| doc.1628- Martineau 2010 Discount Broker Grid update.pdf |
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276.67 KB |
03 05, 2010 20:36 |
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| doc.1628F- Martineau 2010 grille courtiers a escompte.pdf |
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315.99 KB |
04 05, 2010 17:18 |
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| doc.1629- Carrick Globe and Mail 2010 Discount broker fees ...pdf |
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29.5 KB |
04 05, 2010 20:50 |
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| doc.173C-Carrick 24 11 2005 discount vs full service broker.pdf |
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17.59 KB |
25 10, 2009 18:06 |
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| doc.181- watchfire gomezpro 2004 discount brokers.pdf |
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28.91 KB |
25 10, 2009 18:06 |
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| doc.185- cara 16 03 2006 broker salesmen.pdf |
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12.06 KB |
25 10, 2009 18:06 |
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| doc.195- canadian capitalist 2006 Ameritrade Canada 4 04 06 TD CWaterhouse commissions.pdf |
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14.84 KB |
25 10, 2009 18:06 |
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| doc.1994- Harris Poll 2007 Occupational prestige.pdf |
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139.19 KB |
14 03, 2011 16:07 |
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| doc.2082- Craig NYT 20121 SEC Goldman research reports.pdf |
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1.36 MB |
27 04, 2012 13:19 |
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| doc.2083- Farrell MarketWatch 2009 Goldman moral pathology.pdf |
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91.98 KB |
27 04, 2012 13:19 |
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| doc.2085- Massachusetts securities division 2011 goldman_sachs research reports _consent_order.pdf |
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2.09 MB |
27 04, 2012 13:20 |
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| doc.2086- Morgenson Story NYT 2009 CDA and broker conflicts.html |
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75.66 KB |
27 04, 2012 13:20 |
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| doc.2087- SEC 2012 Consent order with Goldman Sachs 34-66791.pdf |
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86.51 KB |
27 04, 2012 13:20 |
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| doc.2088- SEC 2012 press release settlement with Goldman, Sachs.pdf |
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69.57 KB |
27 04, 2012 13:20 |
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| doc.2089- Smith 2011 NYT letter on leaving goldman sachs.pdf |
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121.95 KB |
27 04, 2012 13:20 |
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| doc.2090- US Senate 2011- Wall Street & the Financial Crisis.pdf |
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5.46 MB |
27 04, 2012 13:21 |
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| doc.2091- SEC 2010 Goldman CDO settlement and $500M penalty.pdf |
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88.61 KB |
27 04, 2012 13:21 |
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| doc.2092- Dealbook 2009 Goldman vs clients and CDOs.pdf |
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334.81 KB |
27 04, 2012 13:21 |
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| doc.2093- Bloomberg Keoun 2011 Financial assistance to Wall Street Aristocracy.pdf |
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101.63 KB |
27 04, 2012 13:21 |
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| doc.2094- Morgenson Story NYT 2009 CDO market.pdf |
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85.51 KB |
27 04, 2012 13:21 |
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| doc.21 - carrick G&M 8 04 2006 advisor fees.PDF |
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264.3 KB |
25 10, 2009 18:06 |
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| doc.228- IDA ACCOVAM Q4 2005 broker profits.pdf |
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279.41 KB |
25 10, 2009 18:06 |
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| doc.246 - betterman IDA 2000 brokers.pdf |
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180.16 KB |
25 10, 2009 18:06 |
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| doc.246-Bettermen IDA 14 06 2000 brokers industry.ppt |
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251.5 KB |
25 10, 2009 18:06 |
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| doc.270- IDA ACCOVAM july 2005 Discount broker (francais voir 81).pdf |
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562.83 KB |
25 10, 2009 18:06 |
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| doc.277- ACCOVAM 2006 Ouvrir un compte personnel _fr.pdf |
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193.12 KB |
25 10, 2009 18:06 |
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| doc.278- IIAC 2006 opening a client retail account E OpeningYourAccount_(francais voir 277)en.pdf |
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182.76 KB |
25 10, 2009 18:06 |
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| doc.280- stone business week 6 04 2006 broker vs salesman vs RR vs advisor.pdf |
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36.01 KB |
25 10, 2009 18:06 |
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| doc.288- gordon financial planners standards council 2003 ConsumerSurvey2003.pdf |
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423.32 KB |
25 10, 2009 18:06 |
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| doc.315- churchill luxury institute 13 09 2006 broker high net worth.pdf |
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23.26 KB |
25 10, 2009 18:06 |
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| doc.317- Kivenko Kenmar 2004 financial advisors planners.pdf |
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66.35 KB |
25 10, 2009 18:06 |
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| doc.573- chevreau hahn investments 3 07 2003 wrap accounts.pdf |
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25 KB |
25 10, 2009 18:06 |
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| doc.631- Anthony Davidson CFP 2002 financial p-lanning standards.pdf |
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29.34 KB |
25 10, 2009 18:06 |
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| doc.640- Kerr 1999 choosing an advisor.pdf |
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34.17 KB |
25 10, 2009 18:06 |
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| doc.641- Hanley hahn investments 17 09 2005 ETF financial planners NP_05-09-17.pdf |
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453.33 KB |
25 10, 2009 18:06 |
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| doc.643- chevreau hahn investments 8 08 2005 ETF financial planners.pdf |
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93.45 KB |
25 10, 2009 18:06 |
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| doc.645- Money Digest march 2004 Hahn ETF advisors MD_04-March.pdf |
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241.3 KB |
25 10, 2009 18:06 |
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| doc.702- CSA ACVM proposal 20 02 2007 regulation of brokers advisors.pdf |
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223.36 KB |
25 10, 2009 18:06 |
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| doc.722A- ljungqvist 2007 analyst broker recommendations SSRN-id889322.pdf |
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198.95 KB |
25 10, 2009 18:07 |
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| doc.763- macdonald benefits canada 2004 fund managers op40.pdf |
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269.53 KB |
25 10, 2009 18:07 |
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| doc.81- IDA juillet 2005 courtiers a escompte.pdf |
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593.13 KB |
25 10, 2009 18:07 |
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| doc.810-placement IDA 2006 june Chartbook 2006 English-1.pdf |
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1.25 MB |
25 10, 2009 18:07 |
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| doc.82- IDA june 2005 securities industry Chartbook_2005_en.pdf |
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1.4 MB |
25 10, 2009 18:07 |
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| doc.821-Surviscor 2007 discount broker survey.pdf |
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60.81 KB |
25 10, 2009 18:07 |
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| doc.853-Surviscor 2007 summer discount broker survey.pdf |
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120.79 KB |
25 10, 2009 18:07 |
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| doc.873-Benefits Canada nov. 2007 top40 managers.pdf |
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315.74 KB |
25 10, 2009 18:07 |
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| doc.885-IQPF 2008 formation planificateur financier IQPF -.pdf |
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37.42 KB |
25 10, 2009 18:07 |
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| doc.886-wikipedia 2008 fee-only financial advisor Fee-Only financial advisor.pdf |
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9.4 KB |
25 10, 2009 18:07 |
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| doc.887-CFP canada francais code de deontologie FPSC.pdf |
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65.93 KB |
25 10, 2009 18:07 |
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| doc.888-chambre securite 2008 financiere code de deontologie.pdf |
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69.01 KB |
25 10, 2009 18:07 |
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| doc.889-chambre securite financiere 2008 reglement dÚontologie.pdf |
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47.98 KB |
25 10, 2009 18:07 |
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| doc.890-preston 2004 planification financiere et ethique.pdf |
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89.78 KB |
25 10, 2009 18:07 |
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| doc.891-AIA 2005 tied sales investment adviceGA10Media050812.pdf |
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61.38 KB |
25 10, 2009 18:07 |
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| doc.892-OPQ Office des professions 2007 communique encadrement planificateurs financiers.pdf |
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37.71 KB |
25 10, 2009 18:07 |
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| doc.893-OPQ Office des professions 2007 encadrement planificateurs financiers.pdf |
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61.38 KB |
25 10, 2009 18:07 |
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| doc.893D- OPQ 2008 decision planificateur financier.pdf |
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26.19 KB |
04 03, 2010 11:41 |
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| doc.894-travis morien 2007 definition independence planner.pdf |
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22.6 KB |
25 10, 2009 18:07 |
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…given the fundamental factors in place that should support the demand for housing, we believe the effect of the troubles in the subprime sector on the broader housing market will likely be limited, and we do not expect significant spillovers from the subprime market to the rest of the economy or to the financial system. Ben Bernanke, 17 05 2007. |
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SEC chairman