Regional & Wirehouse Brokers

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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.

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

by FA Staff

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.

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