Andrew Welsch is a former managing editor of Financial Planning.
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Ameriprise lost several arbitration cases in attempt to claw back more than $800,000 in stock awards the firm gave to two former employees.
April 11 -
Jim Weddle, head of the firm, says the new regulation "will increase the public's trust and confidence in what we do for them."
April 7 -
Rep. Ann Wagner of Missouri called on Congress "to stop this ill-advised rule."
April 6 -
The timeline for implementation is extended, and proprietary products wont be effectively banned.
April 6 -
Three former advisors at the wirehouse accuse Merrill of failing to provide them with adequate support to serve international clients.
April 4 -
A FINRA arbitration panel sided with UBS, which sought damages for breach of promissory notes.
April 4 -
The executive's promotion comes as a search is underway to replace retiring CEO John Taft.
March 31 -
The regional firm recruited four wirehouse advisors.
March 30 -
The move fills a vacancy created by several recent promotions.
March 28 -
The acquisition appears to be progressing smoothly, but insiders caution that advisors can still change their minds between now and when the deal closes in September.
March 28
