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Regional & Wirehouse Brokers

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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.

2022 RIA Survey & Ranking: Goodbye To All That

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Is this the end of “too much of a good thing” in the RIA space?

The Big Squeeze: Leading Through the Talent Crisis

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It's hard to find talent these days, and our biggest human capital challenge may still be ahead of us.

FPA Debuts College Planning Certificate Program For B-D Financial Advisors

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The course is designed to help planners better understand how to assist their clients with the challenge of financing a college education.

RIAs In A Whipsaw Decade

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The days of “too much of a good thing” could be coming to an end.

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.

Morgan Stanley Fires 90-Year-Old Advisor Accused Of Shooting Colleague

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Leonard Bernstein allegedly fired multiple shots and wounded his business partner, police said.

Law Firm Hired By Finra Finds No Secret Deal Between Regulator And Wells Fargo

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The firm's report found no evidence that Finra and Wells Fargo rigged the arbitration process in the bank's favor.

Deutsche Bank, Citi See 50% Recession Chance As Rates Rise

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Citigroup now sees the world economy growing 3% this year and 2.8% in 2023.

JPMorgan Packed Its Wealthy Clients Into Troubled Tiger Global Fund For Private Bets

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Tiger's cratering investments have exposed the bank's wealthy customers who clamored to get in.

Number Of Reps, Brokerages Declined In 2021, Finra Finds

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At the same time, revenues and the number of investment advisor firms grew.

Rockefeller Adds Ex-Morgan Stanley Team With $999M In Assets

by FA Staff

The five-member Bellevue, Wash.-based Puget Sound Group is led by Nick Paget.

Jamie Dimon Dealt Rare Blow As JPMorgan Holders Reject Pay Plan

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Jamie Dimon was handed a rare defeat from shareholders as they rejected a pay proposal.

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