FINRA Enforcement: Goldman Fined $800,000 for Trade-Through Failures
In other actions, Morgan Stanley was fined $100,000 on private wealth management failures.
Strauss-Kahn Trots Globe for New $2B Global Hedge Fund
The former IMF Chief, Dominique Strauss-Kahn, seeks $2 billion for a new global macro hedge fund.
2013 Advisor Hall of Fame
Now in its 23rd year, our eagerly awaited benchmark of industry excellence.
Morgan Stanley, Raymond James Name Regional Heads
Meanwhile, Merrill Lynch and Wells Fargo’s independent-advisor unit share their latest recruiting news
CIBC Buys Atlantic Trust Private Wealth Management
CIBC said it would acquire Atlantic Trust for $210 million in an all-cash deal.
New Hire Roundup: U.S. Bank Wealth Management Welcomes Mook
This week in new hires, David Mook joined U.S. Bank Wealth Management, and Sterne Agee welcomed Robert Mohs to its Chicago office.
New Hire Roundup: Caiazzo Chairs SIFMA’s Clearing Firms Committee
Christian Sulger-Büel became managing director of FOX International, and Bill Mitchell was named senior portfolio manager at WHM Capital Advisors.
New Hire Roundup: Beale, Kayajanian Join Security Benefit; DOL Picks New ERISA Council Members
This week in new hires, Security Benefit welcomed George Beale and Jeffrey Kayajanian, CapWealth named Phoebe Venable president and COO, and the DOL named five new ERISA Advisory Council members.
New Hire Roundup: Aberdeen Adds NYC Office
This week in new hires, MFS Investment Management welcomed Philip Stewart and promoted David Bryant; Leslie Voth was named CEO at Pitcairn; and Michael Millman joined U.S. Bank’s Private Client Reserve in San Francisco.
New Hire Roundup: TD Ameritrade Institutional Adds Dario
Also this week in new hires, Joseph Nader joined Wescott Financial Advisory Group; Will Proctor went to a new spot at Neuberger Berman; and more.