$3B Team Joins Wave of Reps Saying No to Stifel
The five advisors, who are going independent with Dynasty, are the latest to leave Barclays since Stifel said it would acquire the firm's wealth unit.
LPL Announces Robo-Advisor Plan
LPL will roll out a pilot robo program involving 20 advisors in the next 60 days, says President Dan Arnold.
Goldman Clearing Arm to Pay $1.8M FINRA Fine Over OATS Violations
Goldman Execution & Clearing was fined for more than eight years of Order Audit Trail System-related failures.
BofA’s Biggest Reshuffling Since Krawcheck’s Exit Keeps Getting Bigger
Days after CFO's high-profile resignation, general counsel Gary Lynch seen as likely to leave his post; wealth chief David Darnell recently announced plans to retire.
Moynihan Tightens BofA Grip as Friction Said to Spur Shakeup
Bank of America CEO Brian Moynihan named the fourth finance chief of his tenure in a broad shakeup as he seeks to reverse shrinking revenue.
Credit Suisse to Shrink Investment Bank, Focus on Wealthy
Regulatory issues continue to plague some of the bank's operations, CEO Thiam says.
Compliance Data Analytics: Do as Regulators Say AND as They Do
Financial services firms should follow the lead of the SEC and FINRA and use more sophisticated technology tools to improve their compliance programs.
4 Ways to Strengthen BICE in DOL’s Fiduciary Rule
The Labor Department’s proposed rule is historic and can be improved by industry suggestions, as long that input doesn’t weaken the rule.
Wells Fargo, Raymond James Add Reps From UBS, Merrill & Morgan Stanley
A veteran female team goes independent in Utah.
How Raymond James Is Boosting Employee Advisors
“Recruitment and growth opportunities" on the East and West coasts “appear to be near infinite,” Private Client Group head Tash Elwyn says.