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Regional & Wirehouse Brokers

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Goldman Shows Small Gain In Black Executives Amid Diversity Push

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Black employees made up about 3.7% of senior officials and managers at the bank in November.

Banks Have Difficulty Retaining Advisors, Cerulli Finds

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Banks are trying to ramp up wealth management, but retaining advisors comes with challenges.

Finra Urges Firms To Reach Out To Risk Analysts When Issues Arise

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Firms are sometimes reluctant to report an issue out of fear it will lead to a full-blown investigation, Finra officials say.

Reg BI Compliance Isn't 'Check The Box,' Gensler Warns

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Complex products top the Reg BI exam list, regulators said at Finra's annual conference.

Schwab Began Hedging Interest-Rate Risk With About $3.9 Billion In Derivatives

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Schwab, which runs both brokerage and bank businesses, has been ensnared in the tumult ravaging regional banks.

Guggenheim To Keep Chicago Offices Shut As Workers Relocate

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It's the latest blow to a city reeling from the high-profile exit of Ken Griffin's Citadel.

Goldman Sachs Descends On Dallas In Wall Street's Latest Move West

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The Dallas financial firm expansion hasn't been this fast since the 1980s oil bust.

Morgan Stanley Plans 3,000 More Job Cuts As Dealmaking Slumps

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That would amount to some 5% of staff, excluding financial advisors and their support.

$3B First Republic Team Lured By Morgan Stanley Extends Exodus

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The team, reportedly led by Randy Peterson, had $23 million in 12-month revenue, a source said.

RBC Gains Two More First Republic Advisors in California

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Brian Addington and Theresa Allen managed a combined $555 million at the embattled First Republic.

Bank of America CEO Says Crisis ‘Too Strong A Word' For Bank Turmoil

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For the most part, depositors were protected and serious contagion was averted, said Brian Moynihan.

Wall Street Banks Sailed Through A Quarter Of Collapsed Lenders

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As regional banks struggled, Wall Street raked in gains with little sign of strain

House Panel Challenges DOL On Independent Contractor Rule

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The “enforcer” of California's contractor rule faces a rocky confirmation hearing for Labor Secretary tomorrow.

Morgan Stanley Profits Slide Amid Investment-Banking Slowdown

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The firm's wealth business recorded $6.56 billion in revenue, higher than estimated and up 11% from a year earlier.

Goldman Traders Miss Out On Wall Street's Fixed-Income Boom

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Goldman Sachs's quarterly revenue fell short in part because it missed a fixed-income bonanza.

Mass. Regulator Appeals Robinhood Ruling Overturning State Fiduciary Rule

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Pro-fiduciary groups have filed friend-of-the-court briefs supporting William Galvin's bid.

Morgan Stanley Fights Arbitration Claim, Says Arbitrator Slept During Hearing

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An ex-employee of the firm won the case saying the bank discriminated against older white males.

JPMorgan Calls Managing Directors Into Office Five Days A Week

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Wall Street firms are rethinking their work-from-home rules as the pandemic recedes.

Top U.S. Banks To Reveal $521 Billion Deposit Drop, Most In Decade

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The KBW Bank Index is down 19% this year, and lost 25% in March alone as bank stocks suffered.

Proxy Season May See More Wall Street Rejection Of Climate Proposals

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Asset managers are pushing back more successfully against proxy proposals from climate and social activists.

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