More about InVest: As new digital tools transform wealth management, the industry’s largest players are rushing to adapt to ever-increasing customer expectations, while smaller firms strive to keep pace. Behind the scenes, many are investing more on technology and hiring to drive growth, but margins remain under pressure. In|Vest West is exploring all the dynamics at play — from front to back office — and the technologies that are shaping the future of the firm.
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John Carney is a partner with the law firm
BakerHostetler and a former securities fraud chief and assistant United States attorney with the Department of Justice, Securities and Exchange Commission senior counsel and CPA at a Big Four accounting firm. He now serves as BakerHostetler's White Collar, Investigations and Securities Enforcement and Litigation team co-leader.May 1
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Level Four Group recruited a wealth program from its onetime brokerage as it made progress on its goal of doubling in size by 2025.
May 1
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First Republic Bank was shuttered by regulators early Monday, and all its deposits and most of its assets were acquired by JPMorgan. San Francisco-based First Republic was undone by low-rate mortgages it made to its wealthy customers as well as by the fallout from last month's banking crisis.
May 1
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With the final stats from this year's filing in, it seems clear that it was one of the most normal in years.
April 30
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A full quarter of American workers cut back on their retirement savings last year, and 12% stopped saving altogether.
April 30
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His lawsuit is the first to follow the U.S. Supreme Court's decision in another case questioning the regulator's "at-home" advantage with internal proceedings.
April 28
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Betsy Jo Merritt accused regional directors of undermining her succession plan and causing the loss of millions of dollars in damages.
April 28
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A Tik Tok trend is helping some consumers to save more and spend less.
April 28
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The 12-person team's move was unsolicited and adds to what is now almost two dozen advisors who have migrated to the wirehouse from the struggling regional bank.
April 28
