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.
Wells Fargo Hits Pause on Eliminating a Fee Waiver
By Janet LevauxThe news comes a month after the wirehouse said households would need $500,000 to avoid fees of up to $300 a year.
March 26, 2020
FINRA Fines Morgan Stanley $300K for Reporting ViolationsThe firm failed to report more than 1,000 fixed income transactions to TRACE, the regulator says.
March 26, 2020
LPL, Affiliates Add 4 Reps From Rivals: Recruiting RoundupPlus, Steward Partners — associated with Raymond James — adds former manager at UBS and Morgan Stanley.
March 25, 2020
The American College Names Head of New Women's CenterHilary Fiorella will lead the effort to advance women in financial services through research, education and awareness.
March 24, 2020
Ex-Rep Wins FINRA Arb Case Against Morgan StanleyBut the award was much lower than what the broker had sought.
March 24, 2020
Vote Now for the 2020 IA25Your input on the 25 industry leaders you're turning to for insights and inspiration is needed by April 6.
March 23, 2020
FINRA Extends Exam Window, Annual Report FilingFINRA recently released a FAQ in light of the coronavirus pandemic.
March 19, 2020
NASAA Opposes SEC Plan to Expand Accredited Investor DefinitionState securities regulators say the new definition would fail to protect investors.