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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.
FINRA Seeks to Pay All Disciplinary Hearing Panel Members
By Melanie WaddellCurrently, the chief hearing officer has discretion to compensate those who serve on extended hearing panels only.
May 07, 2020
UBS Postpones Advisor Comp ChangesMeanwhile, its advisor headcount in the Americas is down 294 from last year and 44 from the prior quarter.
May 06, 2020
What It Takes for Investors to Trust the Investment Management IndustryAmong professions, financial services ranks in the middle tier of trust while medicine ranks at the top, the CFA Institute reports.
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.