Head of Fidelity’s RIA Business to Depart
Bob Oros is set to leave the clearing and custody post he's had for the past five years at the end of January.
Wells Fargo Misses a Chance to Show Off
The bank’s CEO, Timothy Sloan, can dampen the effects of its mismanaged scandal by becoming a leader on employee compensation.
World’s Top 10 Colleges for MBAs
The Economist recently published its 14th annual report on full-time MBA programs at schools around the world.
Wells Fargo, Black Brokers Settle Discrimination Suit for $35.5M
The class-action suit aims to prevent discrimination and support the participation of African American advisors.
Former Investors Cap CEO Resurfaces After a Costly Lesson
The former head of Investors Capital is relaunching his career after apparently losing money in the sale of his company to RCS Capital.
Overcoming Mental Mistakes That Limit Your Firm’s Success
We create the boxes that limit our thinking; here’s how to break your self-imposed barriers to success.
Raymond James Grabs $170M Morgan Stanley Rep: Recruiting Roundup
Meanwhile, an RIA strikes out on his own; State Street and Eaton Vance share executive news.
Eric Schwartz Steps Down as Cambridge CEO
Schwartz emphasizes, “I am not retiring” from the independent broker-dealer that pioneered the BD fee-based business.
5 Brokers Who Crossed FINRA in Q4
Advisors did everything from obtaining credit cards using fake names to lying under oath, regulator says.
Women in Alts Still Face Hurdles, but Optimism Abounds
Mandates for funds run by women have increased, but most still believe it's harder for women to raise capital, KPMG reports.