Displaying 5468 results
SEC Democrats object to no-action letter on brokers borrowing securities
Lee, Crenshaw say the agency is providing leeway to violate the rule, putting investor funds at risk
Adviser managing $220 million at UBS moves to Raymond James
Mark Parker is joining the firm's employee channel in Memphis, Tennessee
Merrill team managing $550 million moves to Rockefeller Capital
CM Private Wealth Group is based in Northbrook, Illinois
UBS to boost fixed pay, cut bonuses
The changes apply to the bank's more senior employees, some of whom may see their salaries boosted by up to 20%
Wells Fargo abandons plans to cut 401(k) match for high earners
The change comes just two days after the original cost-cutting measure was unveiled
Adviser managing $300 million goes indie with Raymond James
Roark Head spins off his practice from Wedbush in Fairbanks, Alaska
Wells Fargo said to discuss sale of asset management unit
Selling the business could bring in more than $3 billion
Are free trades next for digital advice?
Prominent digital providers have added zero-commission brokerage features in recent months — and billions in new assets
Wells Fargo cuts 401(k) match for high earners, hurting advisers
"This is a loss of thousands of dollars," one adviser says
Securities America loses top executive to Carson Group
The departure of Kevin Miller, formerly executive vice president, adds to a growing list of high-level employees to leave the firm in recent months
