Matthew Sellers

Matthew Sellers
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Investment advisory firm case hits Supreme Court this week
REGULATION, LEGAL & COMPLIANCE NOV 26, 2023
Investment advisory firm case hits Supreme Court this week

Ruling could upend SEC’s 'Orwellian and terrifying' powers, amicus brief argues.

Citi initiates restructuring with significant job cuts
INDEPENDENT BROKER DEALERS NOV 20, 2023
Citi initiates restructuring with significant job cuts

Thousands could be affected as bank slashes positions.

Independent advisory firm launches in Massachusetts with $650m in assets
WIREHOUSES NOV 20, 2023
Independent advisory firm launches in Massachusetts with $650m in assets

Two advisors formerly affiliated with Morgan Stanley and UBS make the jump to new RIA.

Finra in surprise proposal to allow predicted returns in marketing
REGULATION, LEGAL & COMPLIANCE NOV 20, 2023
Finra in surprise proposal to allow predicted returns in marketing

SEC reviewing submission to allow 'useful' projected performance.

Goldman Sachs Japan president in sudden departure
INDEPENDENT BROKER DEALERS NOV 20, 2023
Goldman Sachs Japan president in sudden departure

Hank Paulson-appointed regional boss abruptly out.

UBS adds to wealth management ranks
RIA NEWS NOV 20, 2023
UBS adds to wealth management ranks

Connecticut team joins with $700 million.

Morgan Stanley International ex-chairman sues for over $15 million in unpaid fees
WIREHOUSES NOV 20, 2023
Morgan Stanley International ex-chairman sues for over $15 million in unpaid fees

Legal battle launched over retainer, success fees.

Big aggressive rate cuts coming within months, say UBS, Morgan Stanley
REGULATION, LEGAL & COMPLIANCE NOV 14, 2023
Big aggressive rate cuts coming within months, say UBS, Morgan Stanley

Goldman Sachs? Not so much.

Your clients don't think Bidenomics has worked for them
REGULATION, LEGAL & COMPLIANCE NOV 13, 2023
Your clients don't think Bidenomics has worked for them

New poll shows concerning numbers for the president.

Giant bank goes old school as hack bites
FINTECH NOV 10, 2023
Giant bank goes old school as hack bites

Regulators, governments try to assess fallout as suspected Russian cyberattack creates mayhem.