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Six executives were recently tapped to lead wealth management and related investment services groups at Huntington Bank, BNY Mellon, SunTrust and U.S. Bank. Find out who they are and what their new roles entail.
August 8
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The Wall Street regulator says the firm repeatedly ignored red flags for years.
August 8
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The advice environment for participant rollover choices is muddled as plan providers struggle to gear up for the DOL’s rule.
August 8
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A former Morgan Stanley adviser and medalist in swimming offers tips for keeping long-term objectives on course.
August 5
"The Distraction-Proof Advisor" -
These firms grabbed the top spot when it came to rapid growth.
August 4
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The recruit switched wirehouses again after 7 years.
August 4
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Investors have once again taken a liking to taxable bond funds — a marked difference from last year. Advisers may find that clients are taking notice, too.
August 4
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Changes in consumer behavior means demand and acceptance of financial advice has changed dramatically, says Deloitte consultant Gauthier Vincent.
August 4
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The upstate New York community bank is looking to the broker-dealer to help expand its investment offerings and wealth management services.
August 4
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Retired air traffic controller and former FPA president Richard Salmen was named to a one-year term in 2018, succeeding Blaine Aiken.
August 3
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The next installment of our annual listing, organized alphabetically.
August 3 -
"I think the DoL rule has a disproportionate impact on the independent business, and that affected our decision-making," says Ron Kruszewski.
August 3
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Digital wealth management firms see the way to reach millennial clients is through student debt.
August 3
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Four elite advisers who left the independent channel to launch their own RIA deliver blow to Wells Fargo's target of a best-ever recruiting year.
August 3
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The bank is the second to join the firm's network in less than a week.
August 2
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George Merhoff poured his clients' portfolios into a handful of energy stocks that plummeted in value, ex-clients allege in arbitration cases.
August 2 -
Nascent partnership at largest female-run IBD ends as Erica McGinnis leaves top spot. Expect more heads to roll, one expert says.
August 2
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See which independent broker-dealers have the highest revenue.
August 2
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Also, Dynasty lured teams managing nearly $1 billion in client assets to independence.
August 2
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The broker allegedly swiped $1,035 from the bank by using a fee-rebate system to wrongfully move funds into his checking and savings accounts.
August 2
