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Topic

Wells Fargo loses veteran $500 million team to SunTrust

Jeff Pratt and Bryan Kazley head four-person team in Charleston, S.C.

Topic

Carlyle’s David Rubenstein starts family office

Family offices are increasingly common for the ultra-wealthy to manage their fortunes and take care of their personal needs.

Topic

UBS loses $480 million team to Raymond James

Four-adviser team in Sarasota, Fla., moves with its two assistants.

Topic

Former hedge fund CFO barred, ordered to pay $227,500 penalty

SEC alleged that Perry Gruss abetted cash moves at defunct D.B. Zwirn.

Topic

Finra panel awards couple $800,000 in case against Oppenheimer

Says firm was negligent in case involving energy stock selection.

Topic
  • May 23, 2018

Reps managing $200 million at Summit Financial switch to Kestra

Four advisers form Synthesis Wealth Planning in Morristown, N.J.

Topic
  • May 23, 2018

Wells Fargo loses two teams managing $780 million to Baird

Veteran broker teams join the firm in Ann Arbor, Mich.

Topic
  • May 23, 2018

Merrill Lynch team managing $133 million moves to Janney

Leo M. Connor and son join New Haven, Conn., branch.

Topic

Employees at best places to work focus on the person — and the fun

Employees at best places to work firms focus on the person and fun.

Topic
  • May 16, 2018

Three plead guilty to defrauding Native American tribe, investors

Gary Hirst convicted for a second time in sale of more than $60 million of tribal bonds.