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FINRA barred a Chicago-based broker after it was discovered he transferred over $1 million from client accounts into his own over a number of years.
October 8 -
Deutsche Asset & Wealth Management hired a new regional executive from J.P. Morgan.
October 8 -
Deutsche Bank AG, the German lender that has pledged to improve controls after criticism from regulators, hired Elizabeth J. Ford from Goldman Sachs Group Inc. as head of compliance for the Americas.
October 8 -
An advisor pair that jumped to Merrill Lynch after just four months with Barclays must pay back over $6.6M in hiring bonuses, FINRA rules.
October 7 -
The deal will help Gratus Capital Management 'turbo charge' growth, says Focus cofounder Rajini Kodialam.
October 7
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Raymond James reshuffles its divisions, leading to several management appointments.
October 6 -
A UBS advisor managing $108 million in assets has left the wirehouse to join rival firm Merrill Lynch.
October 6 -
On Wall Street has dropped its minimum AUM for its annual ranking of the top 40 advisors under age 40. Who will it be this year?
October 6 -
An advisor team with $400 million in client assets has left Wells Fargo to go independent with the help of Dynasty Financial Partners.
October 6 -
One Morgan Stanley CFP uses her bankruptcy to build bridges to her clients and hone her practice.
October 6
