Regional & Wirehouse Brokers

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$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.

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.

Frank Founder Javice, Who Says JPMorgan Scapegoated Her, Is Charged With Fraud

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Charlie Javice, founder of the college aid site Frank, was accused of inflating the site's numbers.

Andy Sieg Leaves Merrill Lynch (Again) For Citigroup

by FA Staff

Sieg, who headed Merrill Lynch Wealth Management, rejoins Citi's global wealth arm.

Credit Suisse Accused Of Aiding More Tax Evasion During Broader Tumult

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Despite a years-old settlement with U.S. regulators, the behavior allegedly continued right up to the bank's demise.

How A Florida Retired Broker Scored A $3.4 Million Refund For Muni-Bond Investors

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Larry Wasserman discovered that a key data point known as a factor had been improperly calculated on a bond.

How To Protect Your Money With Banks Facing Turmoil

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The problems at Credit Suisse are fueling anxiety for people who want to make sure their money is safe.

Fed's Key Bank Test Overlooked Interest-Rate Risk For A Decade

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The central bank's stress testing failed to capture the realities of the pandemic recovery, according to economists.

Wirehouse Compensation Plans Must Change, Survey Says

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A Cerulli survey highlights advisor dissatisfaction with plan complexity and frequency of revision.

Signature Bank Faced Criminal Probe Ahead Of Firm's Collapse

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Investigators were examining whether the New York bank took sufficient steps to detect money laundering.

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