Morgan Stanley Picks Up Ex-Merrill Institutional Team in Chicago
Raymond James adds independent RIA group, while HighTower brings on a former UBS group.
Morgan Stanley Said to Uncover Theft After Ad Sought Speedcoins for Data
Data on 900 wealth management clients was posted on Pastebin, which led the wirehouse to investigate the case.
Sallie Krawcheck Misses Wall St., Warns Volatility Will Hurt Banks
“I'm a recovering research analyst, so I am a skeptic of everything,” Krawcheck said.
Morgan Stanley Fires Employee Accused of Stealing Client Data
Morgan Stanley fired an employee it said stole data, including account numbers, for as many as 350,000 wealth management clients.
Raymond James, Ameriprise Add Teams in Midwest
The teams move with close to $400 million in total assets under management, the broker-dealers say.
Wells Fargo Steps Right Up in Compensation ‘Carnival Game’
Wells Fargo is the latest to tweak its 2015 pay structure for advisors, making it more complex.
A 6-Point Advisor To-Do List for 2015
Love that bull market, but to succeed next year no matter how the markets behave, you'll need to follow these six steps.
Raymond James Adds 2 Ex-Wells Fargo Teams
This news follows the successful recruiting of groups from Merrill Lynch, JPMorgan and Stifel Nicholaus.
Merrill Signs Ex-NFL Player to Head San Francisco Complex
Willie Thomas, a former Seattle Seahawk, has 20-plus years in the business and will lead nearly 200 reps.
FINRA Penalizes Merrill $2.4M Over Pricing of GM Notes
The fine and restitution are tied to markdowns of more than 10% paid to several hundred clients over two years.