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Regional & Wirehouse Brokers

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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.

Credit Suisse Ignites Global Market Rout As Banking Fears Return

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Credit Suisse's share price plunged 28% in the biggest one-day selloff on record.

Top Wall Street Banker Ray McGuire Joins Lazard As President

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McGuire is a veteran of Morgan Stanley and Citigroup and ran for mayor of NYC.

Schwab Owed $7.3M, Advisors $4.7M In Morgan Stanley Case

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A Finra panel determined the award after four years of counterclaims and cross-claims.

Wall Street's ChatGPT Nightmare Is Over Before It Starts As Banks Crack Down

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Several big financial firms have compliance concerns over their employees' use of the ChatGPT AI tool.

FSI Using 'All Tools' To Persuade DOL To Withdraw Independent Contractor Proposal

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The proposal could result in as many as a few hundred thousand dually registered advisors being reclassified to employees.

JPMorgan Could Reach $1 Trillion Market Value By 2030, Morgan Stanley Says

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The firm stands to benefit from stronger net interest income, plus improved fees and efficiencies in a "soft landing" scenario.

Merrill Lynch Still Trying To Collect On $1.4M Arbitration Award

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The firm won the arbitration in 2021 and now seeks to garnish monies owed by other firms to ex-broker.

JPMorgan Restricts Staff's Use Of AI-Powered ChatGPT Bot

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The artificial intelligence software has become an internet phenomenon in recent months.

Credit Suisse Eyes $380 Million Overhaul Bonus For Top Staff

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It marks the second straight year Credit Suisse aims to incentivize top staff.

2 Ex-Merrill Advisors Sue Firm To Pre-empt Noncompete

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Two ex-employees of Merrill Lynch are taking the company to court over restrictive noncompete clauses.

How Advisor360's First Acquisition Could Expand Its Reach And Offering

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The fintech acquired Canadian account-opening specialist Agreement Express last month.

Solomon Says Goldman Pushed Too Quickly Into Consumer Banking

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David Solomon also said that he's hearing more indication that the economy may be able to dodge the recession.

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