Business Transitions

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Morgan Stanley's New President Cements Role As Enforcer-In-Chief

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Colm Kelleher is a stickler for discipline, and his role as enforcer-in-chief was solidified last month.

Pershing Names New CEO

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The firm announced that Lisa Dolly, currently the firm’s COO, will take over as chief executive.

TD Ameritrade Acquires FA Insight

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The acquisition gives TD Ameritrade RIAs access to a higher level of research and data, TD Ameritrade says.

RCS Capital To File Chapter 11 Sunday Night

by FA Staff

RCS Capital's pre-arranged bankruptcy, wipes out the B-D's obligations and ends its relationship with Nick Scorsch.

AIG Advisor Group To Be Sold; Valerie Brown Named Chairman

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AIG will sell its advisor group as part of a sweeping overhaul.

Larry Roth Steps Down As RCS Capital CEO

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After only two months, he is leaving the job but will remain CEO of Cetera Financial Group.

Boutique Firm Joins EP Wealth

by FA Staff

The merger is part of an expansion by EP Wealth into Northern California.

Embattled Advisors Get Relief From RCS Bankruptcy Plan

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It includes a $150 million capital infusion that will fund an advisor retention deal.

Finding A Like-Minded Successor For Your Practice

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Here are the top five attributes of a strong succession partner, says this broker-dealer CEO.

Invesco Buys Robo-Advisor Jemstep

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The acquisition combines investment management and digital technology.

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