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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 -
Two wirehouse advisor teams, each managing $400 million in AUM, went independent. But wirehouse and regional broker-dealers did not remain idle: Morgan Stanley recruited advisors managing over $600 million in assets, while Raymond James grabbed a million-dollar producer from Merrill Lynch.
October 7
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As hackers and scam artists become more sophisticated, screening for scams can be difficult. Advisors must understand the top threats to client data and what might happen in the event of a breach.
October 7
- Money Management Executive
What were the takeaways at the Investment Company Institute's 2014 Tax and Accounting Conference in Phoenix last week? We put the spotlight on key regulatory and operation issues impacting the asset management industry.
October 7 -
Wall Street profits fell 13% in the first half of the year to $8.7 billion, signaling a potential second straight annual decline, according to a report from New York Comptroller Thomas DiNapoli.
October 7 -
Pension dropouts cause pinch; Baby boomers face doctor shortage; 5 things to know before applying for Social Security
October 7 -
Goldman Sachs Asset Management and Pacific Investment Management say Treasuries are poised to fall as the Federal Reserve approaches the end of its bond- buying stimulus program.
October 7 -
Several banks, such as Woodforest National, operate extensive branch networks inside Wal-Mart stores. There are concerns that the retailer's new GoBank checking account could gut in-store branches' current business.
October 7 -
A growing number of advisors are using coaching services to help realize their dreams of becoming authors.
October 7
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The deal will help Gratus Capital Management 'turbo charge' growth, says Focus cofounder Rajini Kodialam.
October 7
