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The firm agreed to pay $225,000 for failing to adequately supervise its registered representatives, one of whom allegedly bilked elderly clients of over $300,000.
March 5
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Raymond James & Associates tapped a former Morgan Stanley exec and RIA co-founder as regional director.
March 4 -
A former branch manager is promoted to oversee 142 employees.
March 4 -
Advisors Patti Brennan and Judy Rubin offered tips on communicating value to new clients.
March 4 -
Wealth managers from separate teams moved to the wirehouse.
March 4 -
Advisors must do a better job nurturing new women advisors and engaging female clients. Even so, AIG Advisor Group CEO Erica McGinnis has high hopes for women in the industry moving forward.
March 4 -
Veris Wealth Partners, an RIA specializing in sustainable investing, recruited the advisor, who was managing $500 million as a portfolio manager.
March 4
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CFO moves up as departing exec heads to asset management shop.
March 3 -
Management roles at the wirehouse have shifted following the announced departure of a key executive.
March 3 -
James Gorman and other executives got performance-based stock awards that have more than doubled in value since they were granted three years ago.
March 3
