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Rising star at Merrill in New York lands at JP Morgan Chase
Racquel Oden to oversee branch and wealth management teams for tri-state area.
Finra bars former Morgan Stanley rep over hearing no-show
Regulator set to inquire about Guillermo Valladolid's alleged outside activities.
Adviser moves to expect in 2018
Wirehouses' withdrawal from the broker protocol will only boost advisers' interest in the independent space
Wirehouses turn away from bitcoin
None of the big four brokerages are giving their wealth management and retail advisers access to trading the cryptocurrency or any related products.
TD Ameritrade report says brokerage industry driving reps out the door
Brokerage industry 'black eye' fuels the breakaway brokerage trend.
Broker-dealer asset growth outpaces rival channels, Cerulli says
B-Ds grew assets at a rate of 9.1% year-over-year, beating industry's overall rate by 1.9%.
UBS replaces wealth management chief
The move is the second high-profile private banking departure in two weeks.
Morgan Stanley’s aggressive move against former employee puts brokers on notice
Wirehouse's pursuit of New Jersey broker through courts shows firm intends to enforce non-solicitation agreements, experts say.
Three big effects of the shifting broker protocol
More firms will exit the protocol as technology changes the game, and clients will reap the rewards.
Morgan Stanley wins restraining order, but former broker can contact clients
New Jersey broker John Fitzgerald left for Commonwealth Financial Network last week.
As firms pull out of protocol agreement, wirehouse brokers show more interest in breaking away: execs
Firms such as Dynasty Financial Partners and Raymond James have seen an uptick in engagement among wirehouse brokers.
Raymond James gets Merrill Lynch, Morgan Stanley advisers managing $560 million
Four advisers join employee-channel offices in New York's Westchester and Long Island suburbs.
Broker protocol is good for firms and clients, study finds
University of Kentucky professors at MarketCounsel Summit say letting advisers "own the client relationship" benefits industry employers.
Wentworth buys Purshe Kaplan Sterling
Holding company seeks to acquire more IBD shops as M&A deals continue to heat up in 2017.
Merrill likely next big firm to dump broker recruiting protocol
Recruiters say Merrill Lynch, like Morgan Stanley and UBS, has already moved away from the traditional recruiting model and is more apt to leave the protocol than Wells Fargo.
UBS broker-protocol exit puts firm before clients
Wirehouses are making big bets they can turn "world class" advisers who leave into old laundry.
UBS broker-protocol exit shows independent channel is bleeding wirehouses of advisers
Smaller shops have benefited from the broker protocol at the expense of larger firms like UBS, experts say
Nontraded REITs to post worst sales since 2002
The industry is on track to raise just $4.4 billion, well off the $19.6 billion it raised just four years ago, as new regulations hinder sales.
Wells Fargo requires advisers to use level fees for new 401(k) business
The move echoes that of other large brokerage houses such as Merrill Lynch, which requires its retirement plan advisers to act as fiduciaries post-DOL rule.
RBC Wealth Management on recruiting roll
Firm has seen a net gain of 11 advisory teams and $4.25 billion in client assets in the year through September.
