Wirehouse Firms
Learn the ins and outs of the wirehouse channel, including news, analysis and more on Bank of America-Merrill, Morgan Stanley, Wells Fargo and UBS.
Raymond James Adds $507M UBS Advisors: Recruiting Roundup
By Janet LevauxMeanwhile, LPL picks up another group from Securities America; this one is based in Texas.
May 06, 2020
FINRA Announces Reduced-Fee Mediation ProgramParties can use remote mediation at significantly reduced fees through Aug. 31.
May 04, 2020
FINRA Warns of Email Phishing ScamThe scam involves fraudulent emails that claim to be from FINRA officers.
May 04, 2020
Morgan Stanley Boosts Charitable Commitment: Coronavirus Aid RoundupSoFi, Reliant Funding, Cross River Bank, Hancock Whitney and OneUnited Bank are offering COVID-19 relief.
May 04, 2020
July CFP Exam Pushed Back to SeptemberThe certified financial planner exams set for July now will take place in the fall.
May 01, 2020
RBC Grabs $472M Merrill TeamThe move comes as part of the wealth firm's opening of a new office in northern New Jersey.
May 01, 2020
FINRA COVID-19 Fraud Task Force Has Referred 50 Potential Scams to SECFINRA has hired Greg Ruppert, formerly of Schwab, to spearhead its COVID-19 fraud task force.
April 30, 2020
State AGs Urge Court to Expedite Reg BI Oral ArgumentsThe states and XYPN want "to bring certainty for the industry" before the planned June 30 effective date, said Michael Kitces.