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Displaying 1366 results

Topic

Former baseball star Angel Pagan wins $1.7 million arbitration award against Merrill Lynch

Case revolved around investments in Puerto Rican bonds made by the former MLB star

Topic

All-woman team managing $335 million at Morgan Stanley moves to Janney

The five-person Dupre Keating Group joins offices in Pennsylvania and Delaware

Topic

Duo managing $194 million moves from UBS to Raymond James

James Ducharme, Michael Rowland join firm’s employee unit in Melbourne, Florida

Topic

UBS hires $10.8 billion team as net new client money in U.S. slides

The Swiss bank snags Wickham Cash Partners in Charlotte; reports $9 billion decline in net new money in Americas in Q4

Topic

Morgan Stanley eyes 1 million wealth management clients from stock plans

Technology push at Morgan Stanley comes into focus after Solium Capital acquisition

Topic

Merrill to continue focus on training over recruiting in 2020

Long the financial advice industry's leading trainer of young brokers, Merrill to renew attention on coaching

Topic

Goldman Sachs issues its first wealth management revenue total

At $4.4 billion, its financial advice business is small compared to brokerage giants

Topic

Wells Fargo loses more than 450 advisers in 2019

Expenses also increased at Wells Fargo Advisors, and the firm lost a clearing client

Topic

Finra probes brokerage bank sweep accounts as commissions dwindle

Expert: Interest rate discussions with clients ‘can be problematic’

Topic

UBS plans Miami office to work with Latin American firms

The Swiss bank is targeting billions of dollars managed by Latin American intermediaries booking assets in the U.S.

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