Matthew Sellers

Matthew Sellers
Displaying 108 results
Yes, AI is going to take your job
RIA NEWS AUG 05, 2024
Yes, AI is going to take your job

Well, it is if you are a financial analyst and you believe this new study.

SEC and DOJ accuse high-profile short-seller of $20 million securities fraud
REGULATION AND LEGISLATION JUL 26, 2024
SEC and DOJ accuse high-profile short-seller of $20 million securities fraud

It's alleged that defendant used social media posts and research reports to deceive investors.

Investment advisory firm case hits Supreme Court this week
REGULATION AND LEGISLATION 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
RIA NEWS 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 AND LEGISLATION 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 AND LEGISLATION NOV 14, 2023
Big aggressive rate cuts coming within months, say UBS, Morgan Stanley

Goldman Sachs? Not so much.