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Muted sanctions remove spotlight from Wall Street misconduct

February 15, 2018

Under President Donald J. Trump, a top financial regulator isn't embarrassing Wall Street as much as it used to. Take TPG Capital LP — the private equity behemoth co-founded by billionaire David Bonderman. For years, the U.S. Securities and...

Don't sell your soul for a large transition package

February 14, 2018

In the 16th century book, Faust sells his soul to the devil, Mephistopheles, in exchange for 24 hours of tutelage in black magic. It was a decision he would later regret. As a financial adviser in today's world, you may be "tempted" with very...

Merrill Edge adds ESG scores to client dashboard

February 12, 2018

Merrill Lynch is making impact investing a centerpiece of Merrill Edge, the firm's digital investment service tailored to clients with less than $250,000 of investible assets. An update on Monday refreshes the Merrill Edge user interface and...

SEC bars former Merrill rep Thomas J. Buck over commissions

February 12, 2018

The Securities and Exchange Commission has barred former Merrill Lynch broker Thomas J. Buck from the brokerage and investment advisory businesses. Last October, Mr. Buck pleaded guilty to overcharging clients by millions of dollars. He also...

Envestnet releases mobile Tamarac tool as tech conference opens

February 7, 2018

Envestnet Tamarac launched a new mobile app for registered investment advisers to engage with their clients on iOS and Android devices, in the first of dozens of expected adviser technology announcements due this week out of the Technology Tools...

Stock market reaction: Investment managers interpret Dow plunge

February 6, 2018

Money managers and financial advisers are sounding off on Monday's 1,175-point drop of the Dow Jones Industrial Average. Most are urging investors to take a long-term view, many mention that such a move was "overdue" and none are expressing...

Finra bars J.P. Morgan rep fired for improper account access

February 6, 2018

The Financial Industry Regulatory Authority Inc. has barred former J.P. Morgan Securities broker Ricardo Rodriguez-Stern for failing to appear at a hearing looking into customer complaints against him. Mr. Rodriguez-Stern was fired by the J.P....

The dealmakers financing top adviser technology

February 3, 2018

Until recently, most private equity and venture capital firms ignored the adviser technology space, preferring instead to seek sexier — and often more lucrative — markets in consumer fintech. But some recognized the adviser industry's desperate...

Wall Street can't derail the move to lower fees

January 30, 2018

The Vanguard Group is bringing down the cost of investing and there's nothing Wall Street can do about it despite its best efforts. Some financial firms are making it more expensive — and in some cases impossible—for their clients to buy...

Independent broker-dealers are stepping up their game on recruiting from the wirehouses

January 27, 2018

For years, many wirehouse brokers wouldn't consider moving to an independent broker-dealer — and for good reason. The technology at IBDs wasn't on par with the wires. They had no public branding to bring clients in the door. And perhaps above...

Merrill Lynch veteran picked to replace Racquel Oden at Manhattan flagship office

January 26, 2018

Merrill Lynch has tapped firm veteran Matt Grossman to head its flagship Fifth Avenue branch in Manhattan. Mr. Grossman replaces Racquel Oden, who left the firm in December. The branch has 200 brokers and financial advisers under its roof. Earlier...

Wells Fargo, Morgan Stanley use contrary tactics to keep advisers

January 25, 2018

Wells Fargo Advisors and Morgan Stanley are using extremely different tactics in the battle to hang onto their financial advisers. Wells Fargo started the year by dangling a carrot at its 14,544 retail and wealth management advisers, while Morgan...

As two wirehouses bail, RIAs flock to broker protocol

January 24, 2018

High-profile departures notwithstanding, broker protocol is not dead yet. In the wake of Morgan Stanley's surprising Halloween exit from the Protocol for Broker Recruiting agreement, there was widespread speculation of a domino effect as firms...

Wells Fargo erasing hurdles for advisers looking to move to its IBD

January 24, 2018

The independent contractor arm of Wells Fargo Advisors, Wells Fargo Advisors Financial Network, or FiNet, intends to make it easier this year for brokers who are employees to jump to another side of the business and work as independent reps...

Merrill Lynch rep managing $200 million moves to Wells Fargo

January 24, 2018

Dennis Hall, who managed $200 million in assets at Merrill Lynch, has joined Florham Park Wealth Advisors, an independent practice in Florham Park, N.J., that is affiliated with Wells Fargo Advisors Financial Network. Mr. Hall began his securities...

State measures to prevent elder financial abuse gaining steam

January 18, 2018

States are increasingly wading into the fight to combat elder financial abuse, the top state securities regulator said Thursday. The North American Securities Administrators Association released a model rule two years ago that mandates that...

Securities America latest broker-dealer to let advisers use text messaging

January 18, 2018

More financial institutions are bringing text messaging to their advisers. Securities America, a subsidiary of Ladenburg Thalmann Financial Services, has a new app that lets advisers use their personal mobile devices to send and receive texts...

Two practices, each managing $150 million, leave Wells Fargo FiNet

January 18, 2018

Two brokerage teams affiliated with Wells Fargo FiNet, each of which manages $150 million in assets, have affiliated with other broker-dealers. LongView Wealth Solutions, based in York, Pa., has affiliated with Raymond James. Corinthian Wealth...

Morgan Stanley reports a loss of advisers after exiting the protocol for broker recruiting

January 18, 2018

Morgan Stanley lost 47 brokers in the fourth quarter, the same quarter it clamped down on advisers leaving by backing out of the protocol for broker recruiting. The number of brokers leaving in the fourth quarter was the most in any single quarter...

Merrill rep managing $115 million joins HighTower

January 17, 2018

Gayle Johnson, who managed $115 million at Merrill Lynch in Santa Fe, N.M., has joined HighTower, a registered investment adviser. Ms. Johnson joined Merrill Lynch in 1999 and spent her entire professional career with the firm.

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