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UBS advisers’ comp falls amid flat revenue
Declines in transaction revenue and slower growth in fee revenue hampered performance.
Wirehouse advisers pile into euro-stock ETFs
Currency-hedging ETF strategies are a no-brainer: Merrill Lynch portfolio manager
Merrill settles short-selling case with SEC for $11 million
Agency says wirehouse executed short sales in some stocks even when supply fell short.
Merrill Lynch’s John Thiel urges colleagues to work with DOL on fiduciary rule
At least one major industry player is taking a more welcoming stance toward working with the Labor Department…
Fired $1.3B Merrill broker speaks out
A 33-year veteran,Thomas Buck won't fight the wirehouse's allegations and is looking to move on after his sudden, unexpected termination
Brokerage executives enjoying steadily increasing payouts
As markets thrive and wealth management becomes a focus at major firms, brokerage execs like Morgan Stanley's Greg Fleming enjoy bigger paydays.
Wall Street bonuses up 3%, even as banks pay millions in legal settlements
Industry adds jobs in New York City for the first time since 2011.
Merrill to pay $400,000 over telemarketing compliance shortfall
New Hampshire Bureau of Securities Regulation says B-Ds do not 'fully understand' how to comply with telemarketing rules.
Exclusive: Morgan Stanley plans to sell adviser data to fund companies
ETF managers may look to broker-dealers to 'lower the veil' covering advisers.
Morgan Stanley’s Hunger Games-inspired video they don’t want you to see
The straitlaced wirehouse pulled the plug on this 10-minute spoof of the popular "Hunger Games" series. But did it go too far? You decide.
Home office investment performance beats advisers’: study
Cerulli study suggests quantitative manager selection and staying invested during downturns helps home offices outperform advisers.
Merrill Lynch tells its advisers to get some water
Nontraditional investment could benefit from long-term trends, values-based investing: CIO Bartels.
Widow of Home Shopping founder sues Morgan Stanley for $400M
Lynnda Speer, widow of a Home Shopping Network co-founder, alleges excessive trading and negligent supervision by Morgan Stanley in an arbitration claim.
Financial advisers rocket Vanguard to No. 2 in ETFs behind BlackRock
The firm's focus on cost-conscious, fee-based advisers has been a winning strategy.
Merrill loses advisers managing $18.6 billion in 2014
Wirehouse lost advisers managing $18.6 billion in 2014; veteran brokers blame Bank of America's 'fire first and ask questions later' mentality and expiration of retention deals. (See also: How wirehouses will strike back against breakaways)
Morgan Stanley’s ‘Hunger Games’ parody whips financial Twitter into a frenzy
Twitter reacts to Morgan Stanley's 'Margin Games' Hunger Games parody.
SEC’s Gallagher slams White House fiduciary memo as ‘propaganda’
Commissioner says administration ignores industry's stiff oversight by market regulators.
$800 million Morgan team breaks away
Team partners with Dynasty Financial Partners to found Mosaic Family Wealth
Former Bank of America Merrill Lynch trainees sue for overtime
Duo seeks to represent more than 100 trainees, more than $5 million in damages.
Tax complexities delay distribution of 1099s
As brokerages feel pressure ramp up, forms coming later than usual.
