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Regional & Wirehouse Brokers

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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.

Comerica Snags 11-Member SoCal Team From Union Bank

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The team manages some $3 billion in assets, Comerica said.

Missing Goldman Sachs Analyst Confirmed Dead By New York Police

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John Castic, 27, was found in Brooklyn's Newtown Creek on Tuesday.

Wall Street Shrinks Head Count By 21,000 As Dealmaking And Trading Slump

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Wall Street's biggest banks rejiggered their workforces amid a slump in dealmaking.

Goldman Profit Tumbles On Real Estate Hits, Dealmaking Slump

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The bank's profit plunged after an investment banking slump and real estate markdowns.

Wall Street Is Fighting New York's Ban On Non-Compete Agreements

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New York's law is pitting the interests of technology firms against the entrenched financial industry.

N.J. Broker Arrested For Allegedly Using Morgan Stanley Info For Trades

by FA Staff

Jordan Meadow of Spartan Capital Securities allegedly got tips from a friend whose girlfriend worked at the bank.

Ex-Morgan Stanley VP Pleads Guilty To Swindling His Own Mother

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Doug McKelvey misappropriated $1.5 million he managed for his mother and mother-in-law, prosecutors said.

Morgan Stanley Sets $12 Billion Profit Goal For Wealth Unit

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Morgan Stanley is betting its wealth-management juggernaut is only just getting started.

Convicted Ex-Wells Fargo Exec To Pay $4.9M To Settle SEC Fraud Charges

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Carrie Tolstedt also faces 16 months in prison after her March plea deal with the DOJ.

Dimon Hints At Life After JPMorgan, May Mull Public Office

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The CEO's outspoken views on U.S. public policy have spurred talk he could enter politics.

Ex-Broker Must Pay $15 Million Over SEC Market Manipulation Suit

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The SEC claims that he executed more than 18,000 trades to buy stocks at artificially low prices and then sell at artificially high prices.

Finra Alleges Former Merrill Bond Trader Engaged In Fraud

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The regulator filed a complaint against Sidney Lebental that accuses him of manipulating bond trades.

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