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Ex-Merrill execs hope to get mileage out of hybrid model
Mooney, Morris launch Snowden Capital Advisors; counting on word of mouth to attract advisers
Merrill Lynch loses $10.2M broker-pay case
By any standard, it was a big loss. A Finra panel on Wednesday not only ordered the brokerage to pay two ex-workers $5.2M in back pay, but tacked on a $5M punitive charge. Now, Merrill is striking back. In a court petition seeking to overturn the ruling, the brokerage claims a panel member has it in for the firm.
Latest UBS move seen as sign wealth management isn’t for sale
Bank wouldn't undertake centralization of investment, research functions if Americas unit were on the block, consultant surmises
Promising investors a peek at prices
An investor website is promising to give clients their first clear look under the hood of their brokerage…
The Goldman Op-Ed furor: Who are the ‘muppets’?
Greg Smith's parting shot at Goldman Sachs in a scathing New York Times Op- Ed piece yesterday has touched off a firestorm.
LPL affiliate scooped up more than 140 new advisers in 2011
Independent Financial Partners aims to push recruitment this year — and add $30 million in GDC
Citi willing to unload rest of Smith Barney stake: Analyst
Bank interested in selling remaining 35% share of brokerage to MSSB -- if the price is right
Wells Fargo’s buy of Merlin spells entry into prime brokerage biz
Purchase will boost bank's clearing and record-keeping capabilities
Thundering Herd should stay stable post-Krawcheck
Life continues to get more complicated for Merrill Lynch advisers operating under the umbrella of beleaguered parent Bank of America Corp.
Goldman flap drives home fiduciary issue
When midlevel Goldman Sachs executive Greg Smith blasted his firm publicly last week for what he deems its…
Rejiggering at UBS wealth management ‘a big deal for retail’
Bob Mulholland, who was head of the wealth-management adviser group, was named head of wealth management and investment solutions
Lerner’s former associate targeting wirehouse advisers
New wealth management firm recruiting from big firms; 'lot of unhappy people there'
UBS paid McCann $9.9M after wealth turnaround
UBS AG, Switzerland's biggest lender, said Robert J. McCann, the head of wealth management Americas, was the highest-paid member of the executive board in 2011, receiving total compensation of 9.18 million Swiss francs ($9.9 million).
Assets up but revenue down for Schwab, TD Ameritrade
Low rates, unenthused DIY investors are to blame
Old home week as ex-Merrill execs join McCann on UBS super committee
Six-member team charged with retaking market share in the U.S.
Edward Jones and Commonwealth tops with advisers
Pair of firms ranked No. 1 in J.D. Power and Associates for second year in a row
All-in purchase of MSSB could singe Morgan Stanley’s credit rating: Analysts
Say swifter acquisition of remaining Citigroup stake would likely involve leverage
Merrill adds a few heavyweights to herd
A team of financial advisers managing $261 million in assets, with more than $2 million in production, left…
Janney signs more wirehouse brokers
Regional brokerage Janney Montgomery Scott LLC of Philadelphia has landed another large team of wirehouse financial advisers.
QB-turned-adviser goes RIA way
Southern California football star William Blanton — better known as Billy Blanton — has joined a new team.
