Mark J. Pomerantz, who managed $658 million at Morgan Stanley in Santa Monica, California, has moved to the Los Angeles office of Alex. Brown. The firm is a division of Raymond James.
Pomerantz has spent his entire career with Morgan Stanley, joining the firm in 1981.
The industry watchdog's own reports reflect failures to deter "willful" and "repeat" violations, raising a crucial question about the future of regulation.
Acting Chairman Mark Uyeda directed SEC staff to initiate a pause in court while the commission awaits a quorum. The SEC may decide to withdraw from defending itself in a lawsuit over last year's climate disclosure rule.
The top estate planning platform's veteran hire will lead its legal team's efforts to develop estate planning, tax analysis, and wealth transfer solutions for ultra-high-net-worth clients.
“If Morgan Stanley had called my client’s son, this wouldn’t have happened,” the investor's attorney said.
Meanwhile, Ameriprise has bolstered its own ranks as an LPL defector joins its branch channel in California.
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