Regional & Wirehouse Brokers

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Morgan Stanley's Wealth Management Arm Draws Fed Scrutiny

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The Fed wants to know about the wealth management arm's measures to prevent money laundering.

The Ex-Goldman Partner Singing And Dancing About Her Retirement

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A star of fixed-income sales at Goldman is now the star of a Manhattan cabaret show.

The Importance Of Being No. 1: It Leads To Business

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Like many other things, people want the best financial advice available.

Outgoing Morgan Stanley CEO Gorman Signals He'll Step Down As Chair In 2024

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He said he wanted to clear the way for CEO-elect Ted Pick.

UBS Seeks To Shed $5 Billion In Rich Clients' Assets

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UBS Group has decided to exit $5 billion in assets it manages for rich customers.

Why RIA Firms Could Start Looking More Like Wirehouses

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All year we've been covering the changing of the guard in the advisory profession, and this issue's cover story continues exploring that topic.

Morgan Stanley's Profit Slides On Investment Bank Slowdown

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The stock was already down 5.5% this year through Tuesday. It declined further on Wednesday.

UBS Adds 2 Philadelphia Teams With $1.7B AUM

by FA Staff

The teams were formerly affiliated with Bernstein Private Wealth Management.

Ex-LPL Advisor Sentenced To 15 Years For Stealing $1.3M From Client

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Patrick Noel Thayer was also ordered to pay over $1 million in restitution to his victim.

Bank of America CEO Says Soft-Landing Projection Spurred By Strong Consumer

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Moynihan also said that Bank of America's commercial customers are in some ways in better shape than before the pandemic.

Finra Fines, Suspends Former Giants, Packers Player

by FA Staff

William Donovan “Billy” Ard was accused of misleading clients as a rep at Morgan Stanley in Short Hills, N.J.

UBS Snags $700M Merrill Lynch Team In Conn.

by FA Staff

The five-member Coutant Group is led by Keith and Kevin Coutant.

5 Ways Wealth Management Firms Can Power Their Growth

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The financial services industry is facing a period of change like no other. Here's how to adapt.

Investors Love Advisors, But Demand More Customization, Services, Goldman Says

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Perhaps the best news for incumbents is that 93% of investors are satisfied with their current financial advisor relationships.

Successful Banks Will Target Clients By Wealth Level, Cerulli Says

by FA Staff

Asset managers can help banks fine-tune their products and services, a Cerulli report says.

Finra Bars Ex-Morgan Stanley Rep In Florida After Fraud Allegations

by FA Staff

Four clients have claimed almost $860,000 in damages against Ron E. Filoramo.

Cetera To Buy $42.6B AUM Avantax

by FA Staff

Wealth management firm Avantax will be delisted from Nasdaq and become a Cetera business unit.

$800M Arizona Team Joins LPL From Lincoln Financial

by FA Staff

Peoria, Ariz.-based Validus joins LPL's broker-dealer, RIA and custodial platforms.

UBS Seeks Restraining Order Against $5.5B Atlanta Team That Skipped To RBC

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The bank said the team ran afoul of non-solicitation agreements.

Process Brokers Use To Erase Customer Complaints Gets Tougher In October

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Finra amendments will make expungement pricier and more difficult to obtain.

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