Regional & Wirehouse Brokers

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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.

Bankers And Regulators Find Common Ground On Crypto At Davos

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Will 2023 be the year that global regulators get their arms around the crypto industry?

Why Goldman Sachs Is Far, Far Behind Morgan Stanley

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The trouble for Goldman is that investors no longer value big wins in trading.

Goldman Expenses Surge As Firm Sets Aside More For Compensation

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Fourth-quarter results from the biggest U.S. banks on Friday gave investors plenty of reasons to be jittery about 2023.

Morgan Stanley Beats As Wealth Management Hits Record

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Morgan Stanley executives have been preaching confidence heading into 2023.

Credit Suisse Weighs 50% Cut To Bonus Pool After Tough Year

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It caps a grim year in which the bank was forced to raise $4 billion after a string of losses.

Wells Fargo Ordered To Pay $3.7 Billion For 'Illegal Activity'

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The bank's violations cost customers their homes, cars and savings, said the government's consumer watchdog.

Independent B-D's Gain Market Share, Cerulli Says, But Wirehouse Strength Endures

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If they were to switch firms today, 71% of advisors would prefer an independent affiliation, the research firm said.

Goldman Sachs Considers Eliminating As Many As 4,000 Jobs

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Top managers have been asked to identify potential cost-reduction targets.

Wall Street Companies Are Cutting Staff As They Prepare For A Downturn

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At the five biggest US banks, revenue from dealmaking and sales of new securities tumbled 47% in the first nine months of 2022.

SEC Proposes Sweeping Changes To Stock Trading And Payments For Order Flow

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If approved, the proposals will change the way retail orders are priced, routed and filled.

Morgan Stanley Sues Estate Of Dead Advisor Who Had Shot Co-Worker

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Morgan Stanley said Leonard Bernstein signed two promissory notes for $478,000 while he was employed there.

E*Trade Eliminates Mutual Fund Commissions, Redemption Fees

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The move further aligns E*Trade's operations with Morgan Stanley's.

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