Displaying 2261 results
Wells Fargo reps to jump higher ‘hurdle’ in 2021 pay grid
The target to reach the higher payout will increase by $1,000 per month next year which could pinch adviser compensation
Wells Fargo rep managing $120 million goes indie with LPL
Joe Mastroianni in Venice, Florida, is affiliating with LPL through OSJ Gladstone
Merrill Lynch hit with record $26 million action over broker churning
New Hampshire Bureau of Securities Regulation called the settlement the 'largest monetary sanction' in the regulator's history
Merrill Lynch keeps grid intact, cuts pay on small accounts
Starting in January, advisers will see a reduction in how they are paid for clients' holdings in cash and on accounts under $250,000
Boston FiNet team managing $3.75 billion becomes RIA
Mayflower Advisors breaks away; uses Pershing as custodian
Finra slaps reps who carried client information out the door
Two former wirehouse brokers run afoul of Reg S-P, according to Finra
Morgan Stanley fires 10 reps over account takeovers from retired advisers
The terminations raise questions about the company's former advisor program known as FAP
Adviser managing $160 million at Wells Fargo joins Baird
Mario Perez is moving to the Baird office in Sacramento, California
Wells Fargo team managing $1.15 billion exits to Stifel
Stolz-Smith Financial Consulting Group is opening a branch in Midland, Michigan
Duo managing $350 million at UBS move to RBC
Samuel Martello and Brian Sullivan switch firms in Cleveland
Veteran Merrill group with $5 billion jumps to First Republic
John C. McNamee and Daniel J. White are the latest Wall Street veterans to move to First Republic
UBS Wealth picks ex-NFL player to lead athlete segment
Adewale Ogunleye is a former Pro Bowl defensive end with the Chicago Bears
Merrill adds more choices to its model portfolio offering
Additions include sustainable, hybrid and high-net-worth options from several managers
Ex-Wells Fargo CEO Stumpf to pay $2.5 million in SEC settlement
The agency accused Stump and former Wells executive Carrie Tolsted with misleading shareholders about the success of Wells' community bank
Team managing $1.8 billion at UBS goes to Venture Visionary Partners
The addition of 12 professionals and AUM almost doubles the size of the Toledo, Ohio, RIA
UBS sued for $500 million by Chinese tycoon over deal gone awry
Wealthy Chinese businessman Guo Wengui steps up his fight over money he lost when the bank called in a margin loan
UBS slashes investment minimum for robo-advice
Giant firms are looking for an avenue to serve younger clients
Wells Fargo to freeze raises for high earners
The bank plans to halt increases in base pay in the coming year for employees earning more than $150,000
RIAs are killing it in 2020 recruiting
The numbers are way up, even as firms struggle amid the COVID-19 pandemic
Family trio managing $200 million at Wells Fargo goes indie with LPL
Trilith Wealth Management maintains offices in West Virginia and Florida
