Regional & Wirehouse Brokers

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Courting Advisors After Covid

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The broker-dealer recruiting wars have put the ball in advisors' court.

Cerulli Says Private Banks Want To Recruit Advisors

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Wealth management has enticed private banks and trust companies and they want to grow.

Finra Orders UBS To Pay $5M In Biggest Award Yet For Options Strategy Losses

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A Florida couple claimed they lost $5.5 million on the risky options product, which they said was unsuitable.

Wall Street Revenue Seen Plunging On Inflation, Recession Fears

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Citi and JPMorgan expect deal-making and investment banking fees to fall by 50%.

JPMorgan Weighs Investment In Fintech Startup Yapily

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The bank has been striking dozens of deals in the fintech space.

JPMorgan Launches Namesake Active Growth ETF

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The fund aims to identify companies with growth potential that are underappreciated by the market.

Wirehouses Risk Losing 15% Of Advisors, J.D. Power Finds

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Independent broker-dealers face 7% advisor attrition over next two years, according to a recent analysis.

10 Questions That Prompt Clients To Provide Referrals

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There is a special way to ask, “Who do you know?”

Understanding The Rule Of 40%

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The Rule of 40% is a solid way to think about the mix between the growth and profitability of your business

Resolving The Title Protection Quandary

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Decades after the financial planning profession emerged, the question of who gets to use the name is still dividing people.

Goldman And Morgan Stanley Ease Covid Rules, Clearing Path To Desks

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Goldman will let employees outside New York enter offices regardless of vaccination status, with no mask or testing requirement.

Bear Markets Offer A Chance For Advisors To Grow, Consultants Say

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Down times are an opportunity for client acquisition and mergers and acquisitions, they say.

Why Hybrid Human-Digital Finance Will Be Multifaceted

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Human-digital hybrid financial services can take on many different forms, said SigFig's Mike Sha.

Finra Fines Morgan Stanley $325K After Computer Errors

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Glitches in the firm's reporting affected 12,616 research reports.

Credit Suisse Weighs Cutting Thousands Of Jobs In Turnaround Bid

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The struggling European lender wants to slash its cost base by an additional $1 billion.

Wall Street Bonuses Poised To Plunge Following Slowdown In Deals

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Incentive pay for those underwriting debt and equity could plummet more than 45% this year.

JPMorgan, UBS Brokerage Units Pay SEC Fines For Anti-Identity Theft Programs

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The brokerages violated regulations that lay out requirements for financial firms' prevention programs.

Credit Suisse Taps Fixer For CEO In Move Making It Like UBS

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The Swiss financial giant has changed its entire executive team and half its board of directors in the past 18 months.

J.P. Morgan Faces More Client Loss As Another Advisor Leaves

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The asset manager filed a fourth lawsuit to hold onto as much as $800 million in AUM.

J.P. Morgan Sues To Stop Former Broker From Taking Clients To Stifel

by FA Staff

A complaint filed by J.P. Morgan Securities alleged David M. Anderson has so far taken 15 clients with him.

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