LPL’s Latest Shot in Tech ‘Arms Race’: Naming Ex-IT Exec to Board
Several experts are wowed by former Xerox CEO Anne Mulcahy’s new role at LPL.
As LPL’s Dwyer Steps Down, Moore Steps In
After 20 years, the executive leaves the IBD’s sales efforts in the hands of the Advisor & Institution Solutions president.
How LIBOR Settlement Could Hurt UBS
UBS, which has more than 7,000 advisors in the Americas, recently agreed to pay more than $1.5 billion over LIBOR manipulation and related charges. Will its troubles drive away clients and recruits?
Morgan Stanley Bonus Deferment Seen as Warning Shot
The plan does not affect financial advisors this year, but could be a sign of things to come industrywide, experts say.
UBS Reps & LIBOR Woes: ‘A Bit Exhausting,’ Says Expert
Plus, the latest scandal won't be the last for the firm—or for the industry, points out Chip Roame.
Morgan Stanley’s 2013 Advisor Comp Plan Seen as Good for Medium Term
New stock ownership and other shifts may not help in the short run, experts say, but provide benefit as time passes.
The State of Investor Trust, or Distrust, Fiduciary and the CFP Board
Is the argument over a fiduciary standard for all advice-givers, and the CFP Board's position on a fiduciary standard for CFPs, missing the bigger point?
Joint Venture Drops Smith Barney
Morgan Stanley says that its U.S. wealth management business is now branded Morgan Stanley Wealth Management (MSWM).
What’s Driving Industry Shifts?
The number of wirehouse advisors and their asset base continues to drop, says a report released by Cerulli Associates on Monday.
Morgan Stanley Drops Smith Barney From Name
“The name change was not unexpected,” said a recruiter. “Finally, we have the culmination of what was not a joint venture, but a takeover.”