Displaying 1366 results


Wall Street targets Silicon Valley rich

Citi, Bank of America and Morgan Stanley are among the firms beefing up their wealth management efforts in Northern California


Wells Fargo team with $800 million moves to Raymond James

Daniel Kaschmitter and William Gelegotis are joining the employee unit in Salt Lake City


It’s 2020, and the chase for big commissions is back

The financial advice industry is priming the pump to increase sales of high-commission products


UBS wealth unit revamp gathers pace

The wirehouse plans to cut as many as 500 private banking jobs as it moves forward with its overhaul


Wells Fargo to remain under political pressure through 2020, Cowen warns

An analyst is forecasting trouble for the wirehouse through next year, with mounting risk as Democrats take aim


Decline of brokerage research accelerates as disruptive forces reshape industry

Machines are doing a lot more of the work and investors are piling into passive funds.


Merrill Lynch duo managing $270 million moves to Raymond James

Christopher Stanford and Matthew Douglas are joining the employee unit


Morgan Stanley fined $225,000 over questionable muni bond trades

SEC: Firm was swapping bonds for clients with no alleged benefit to the customer.


Adviser must pay former employer $358,000 for violating employment contract

Arbitrator ruled that adviser was supposed to pay a fee for every former client he solicited.


UBS considering mergers to cope with European banking market malaise

But consolidation in Europe has proven challenging, with Deutsche Bank and Commerzbank breaking off talks earlier this year.


Get unlimited access to investmentnews.com

Starting at $4.95 a week for 4 weeks


Pay just $4.95 for the first 4 weeks