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The search for Ken Lewis' successor at BofA officially kicks off

October 5, 2009

Bank of America Corp. on Friday created a six-member committee of directors to find a successor for CEO Ken Lewis. The move comes two days after the bank said Lewis plans to retire at the end of the year. The committee is being led by Bank of...

Baird snags Wells Fargo adviser, opens retail office in Denver

October 5, 2009

Karen Ogard, a 26-year industry veteran, last week left Wells Fargo Advisors LLC, where she was in the brokerage's Greenwood Village, Colo., office, and joined Robert W. Baird & Co. Ms. Ogard, a legacy A.G. Edwards & Sons Inc. rep with more...

Baird adviser with $205M heads to RBC, $100M Merrill couple goes indie

October 2, 2009

RBC Wealth Management Mike Dwyer, formerly of Robert W. Baird & Co. Inc., has joined RBC Wealth Management as a senior vice president and financial consultant in the firm's Phoenix office, RBC said today. He will focus on serving high-net-worth...

A.G. Edwards scion branches out, expands into New York

September 28, 2009

Benjamin “Tad” Edwards IV, the great-great-grandson of Albert Gallatin “A.G.” Edwards, took another step toward expanding his own brokerage business with the launch of a branch in White Plains, N.Y. — one that will house a number of...

MSSB duo defects to RBC

September 13, 2009

Two senior financial advisers from Morgan Stanley Smith Barney have left RBC Wealth Management. Vincent D. Crudo and Patrick F. Duff joined RBC's New Haven, Conn., office as senior vice presidents and financial consultants. At Morgan Stanley...

RBC snags $340M duo from Smith Barney

September 9, 2009

RBC Wealth Management has added two senior financial advisers from Smith Barney with $340 million in client assets as the regional brokerage firm continues to recruit brokers a rapid clip. Patrick F. Duff and Vincent D. Crudo joined RBC’s...

SEC's Schapiro issues warning to broker-dealer executives

September 6, 2009

Securities and Exchange Commission Chairman Mary L. Schapiro last week issued an open letter to broker-dealer chief executives, warning them to make sure supervisors are vigilant about conflicts of interests as they recruit registered representatives....

Raids 'blindside' small B-Ds as brokers go for the gold

July 12, 2009

Recent raiding at broker-dealers has sparked ugly and bitter feuds and led to significant damage awards, and financial industry attorneys and experts see more cases in the offing. Last month, a three-member Financial Industry Regulatory Authority...

Brokerage firm recruitment deals are holding steady for top reps

June 14, 2009

Despite the intense scrutiny on executive compensation by legislatures and regulators, major brokerage firms continue to offer generous recruitment packages to top brokers. Overall, industry packages for leading producers are running at 180%...

For indie B-Ds, it isn't all gloom and doom

April 26, 2009

The fantastic growth among independent broker-dealers came skidding to a halt last year, but the results were far from disastrous — with some firms taking advantage of recruiting opportunities despite the revenue declines. According to an InvestmentNews...

UBS to overhaul its retail business

April 19, 2009

As part of a massive overhaul of its U.S. wealth management business, UBS AG is set to shed up to 2,000 jobs, shrink its regional operations and consolidate a number of branches here over the next several months. According to multiple sources,...

Wachovia stops offering profit-formula deals

April 12, 2009

Wachovia Securities last month stopped offering recruitment packages to potential recruits to its profit-formula platform. Profit-formula representatives are employee brokers who work in branch offices of Wachovia Securities LLC of St. Louis....

Top exec predicts record recruiting year

March 5, 2009

Raymond James Financial Services Inc. expects a record recruiting year, as reps and advisers flee struggling wirehouses to join the St. Petersburg, Fla.-based company. In the first five months of the company’s fiscal 2009, beginning Oct. 1,...

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