The Swiss bank is targeting billions of dollars managed by Latin American intermediaries booking assets in the U.S.
Firms need large cash on hand to make up lost commission revenue
Suarez succeeds firm founder Rob Clarfeld, who becomes executive chairman
Callan survey suggests plan sponsors should consider indirect revenues in fee reviews
Citi, Bank of America and Morgan Stanley are among the firms beefing up their wealth management efforts in Northern California
The problem won’t go away if it’s regarded solely as an issue for smaller firms
Jury found Wells Fargo infringed on USAA patents, similar to findings in a November verdict
AI is one of the buzziest words in fintech. Are the AI claims real or is our intelligence being insulted?
Advisers who use an assets-under-management model should lead with planning and do what’s in the best interest of their clients at all turns
Make D&I a core principle, not public relations
Daniel Kaschmitter and William Gelegotis are joining the employee unit in Salt Lake City
The firm is hoping to make it easier for brokers to embrace financial planning
Members can switch health and drug plans during the annual open enrollment, which runs through March
The legislation's green light for open multiple employer plans goes into effect at the start of next year
Regulator also highlights private placements, digital communications and bank sweeps as priorities
Anthony Rochte will take over as head of GS Select
At 2012 congressional hearing, he helped derail bill on Finra oversight of advisers
Brokerage firms and broker and adviser associations ask lawmakers for ‘clarifying legislation’
Thomas Renison, who was barred by the SEC in 2014, raised $6 million in scam
‘Owe is me,’ according to Nationwide survey, which shows almost half of Americans are stressed by debt