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Topic

Morgan Stanley sees massive growth from giant teams of advisers

Andy Saperstein expects some teams to reach $100 million in annual revenue in the future.

Topic

Forget the SEC advice rule — broker-dealers more concerned with CFP Board expanded fiduciary standard ​

CFP Board's updated code of ethics and standards goes live in October.

Topic

Merrill Lynch adding human advisers to Guided Investing robo

The advisers will fill a service gap between the firm's purely digital, self-directed robo-adviser and the full-service advisers of Merrill Lynch.

Topic

Finra suspends ex-Morgan Stanley broker who made hundreds of CD trades for elderly client

The broker, David Strnad, "exceeded the scope of his authority" when he made the trades, according to Finra.

Topic

JPMorgan’s Dimon criticizes Wells Fargo CEO transition

Chief executive says it was 'irresponsible' for the bank to announce Tim Sloan's departure without a succession plan in place.

Topic

LPL expanding platform to include employee brokers

The largest IBD in the country has agreed to buy a small broker-dealer in Florida to kick off the new effort.

Topic

Greg Fleming, Rockefeller Capital spending big on recruits

Firm is offering advisers upwards of three times prior year's revenue to move.

Topic

Bob Oros of HighTower calls protocol exit ‘form over substance’

The move 'clarifies' where the RIA consolidator is heading, CEO says.

Topic

Morgan Stanley wealth management clients burned in Uber IPO

Elite clients got an early chance to invest in the ridesharing company, and now they're looking at losses.

Topic

Morgan Stanley advisers win huge $6.4 million deferred comp claim against Credit Suisse

The two advisers left Credit Suisse after the company announced it was closing its U.S. brokerage operation.

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