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RBC Wealth Management recruited Kevin Williams to serve as a senior vice president and branch director of its Richmond office.
July 21 -
The company has snatched two more advisors from Morgan Stanley Smith Barney.
July 19 -
FINRA plans to significantly expand the information it provides via its free online tool, BrokerCheck, in the coming months.
July 14 -
Samoset Capital Group has snagged John Straus, a former UBS executive, to head one of its subsidiaries.
July 8 -
Bank of America/Merrill Lynch has recruited David Oman from UBS to serve as chief risk officer for Europe, the Middle East and Africa operations.
July 7 -
FINRA has permanently barred a former Deutsche Bank advisor for alleged market manipulation regarding stock for a hedge fund client.
July 2 -
As the rich get richer across the globe, high net worth clients in North America have tightened their grip on their wallets.
July 2 -
The future seems promising as advisors see an opportunity to work more closely with clients
June 28 -
A lack of investor confidence in the market has triggered advisors to work feverishly to strenghten client retention techniques over acquiring new customers.
June 24 -
The demand for passion investments among high-net-worth investors are expected to increase this year, according to Merrills World Wealth Report
June 24 -
Investor behavior has changed dramatically in light of market rebounds and signs of recovery, according to the 14th annual World Wealth Report released today by Merrill Lynch Global Wealth Management in conjunction with Capgemini.
June 22 -
FINRA has struck an agreement with the Australian Securities and Investments Commission to enhance the work efforts between the two regulators.
June 22 -
The hiring mill keeps grinding at the wirehouses, as MSSB adds two teams of advisors with combined client assets of more than $1 billion.
June 21 -
Wirehouses and regionals nab financial advisors and veteran executives.
June 18 -
The migration of advisors continues, as RBC Wealth Management hired two from UBS to expand in Portland, Ore.
June 18 -
The four wirehouses are starting to sweeten the pot to retain financial advisors.
June 15 -
The lower house of the Swiss Parliament voted on Tuesday to reject the agreement that was designed to allow UBS to avoid tax evasion charges.
June 8 -
John T. McCauley becomes the new Regional Executive in Houston for Deutsche.
June 8 -
Let the game begin! With MSSB's move, can Merrill be far behind?
June 8 -
Broker used upfront money to buy a red Ferrari.
June 3