Raymond James, Baird, Wells Fargo Add Reps From Rivals
The freshly recruited teams include families as well as individual advisors.
Mutiny? Brokers Are Embracing Fiduciary Standard, if Not Their Employers
Deutsche Bank suit and countersuit show that some brokers are putting their clients' interests first even when their employers dictate otherwise.
Merrill Taps Veteran Exec for Affluent Operations
Mike Bitterly returns to the Thundering Herd after work with BlackRock.
Scarred Reputations Costing Financial Firms Billions
Six years after the financial crisis, financial services firms are still burdened by reputational and customer service issues, according to a Makovsky survey.
Pershing to Launch Retirement Plan Network
Meanwhile, affiliate Albridge is introducing a wealth reporting platform; Pershing talks about its asset growth at Insite conference.
30-Year Merrill Veteran Dupuy to Lead Focus Financial's Indie Transition Team
Focus Financial Partners announced Thursday that it has tapped Merrill Lynch veteran Chris Dupuy as co-president of Focus Connections.
FINRA Fines Barclays, Merrill, Goldman Over Inaccurate ‘Blue Sheet’ Data
FINRA fined the banks $1 million each for failing to provide complete and accurate information about trades performed by the firms and their customers.
Advisors’ Favorite Value-Add Programs: Social Security, Search for Yield
American Funds and JPMorgan offer the most popular value-add programs while PIMCO falls off Top 10 list, new survey finds.
FINRA Bars Ex-Wells Fargo Rep
Michael Frew may have set up a Ponzi scheme involving 30 investors and a man named “Guido.”
12 Best & Worst Broker-Dealers: Q1 Earnings, 2014
This quarter saw surprising performance dips and peaks across the financial sector.