Wirehouses

Displaying 1366 results

Topic

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

Topic

Wells Fargo team with $800 million moves to Raymond James

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

Topic

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

Topic

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

Topic

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

Topic

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.

Topic

Merrill Lynch duo managing $270 million moves to Raymond James

Christopher Stanford and Matthew Douglas are joining the employee unit

Topic

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

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

Topic

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.

Topic

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.

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