Broker-Dealers

Displaying 5468 results

Topic

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

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Adviser managing $220 million at UBS moves to Raymond James

Mark Parker is joining the firm's employee channel in Memphis, Tennessee

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Merrill team managing $550 million moves to Rockefeller Capital

CM Private Wealth Group is based in Northbrook, Illinois

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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%

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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

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Adviser managing $300 million goes indie with Raymond James

Roark Head spins off his practice from Wedbush in Fairbanks, Alaska

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Wells Fargo said to discuss sale of asset management unit

Selling the business could bring in more than $3 billion

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Are free trades next for digital advice?

Prominent digital providers have added zero-commission brokerage features in recent months — and billions in new assets

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Wells Fargo cuts 401(k) match for high earners, hurting advisers

"This is a loss of thousands of dollars," one adviser says

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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