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Jean McCrave Baxter claims colleagues made sexual jokes and she was denied advancement opportunities afforded to male co-workers.
August 20 -
A 34-year old broker with high-net-worth tax specialty signs with Dynasty.
July 30 -
Six of the top 10 advisor recruits — managing roughly $13.2 billion in client assets — have walked out of the wirehouse so far this year.
July 19 -
Jim Senderling and John Robbie had been with Merrill Lynch for 27 and 25 years, respectively.
July 16 -
Despite loosening regulations and the president’s tax cuts, BofA continued a string of lackluster second-quarter earnings for the big banks.
July 16 -
Bruce Keebeck Lee has repeatedly been ranked as a top advisor by both Barron’s and The Financial Times, but he was fired in April for a failure to file compliance paperwork.
July 13 -
Joe Voboril claims he was wrongfully terminated after an investigation into another banker’s alleged inappropriate sexual conduct, according to his lawyer.
July 5 -
Since early May, the wirehouse has lost at least 27 advisors managing a combined $15 billion.
June 28 -
The lawsuit follows a complaint by the SEC alleging that five men and three companies defrauded more than 600 investors.
June 27 -
The app also allows clients to use the Zelle person-to-person payments service.
June 25 -
The firm agreed to settle and admitted wrongdoing, according to the regulator.
June 20 -
The move is an early indication of how firms may react to the demise of the Labor Department regulation.
June 15 -
The wirehouse's traders and salespersons misled and overcharged clients with regard to the securities, the regulator charges.
June 13 -
Banks are opting for a hybrid approach, augmenting in-person advice with digital guidance.
June 11 -
J.P. Morgan hired 160 brokers last fiscal year, and it’s not slowing down in 2018.
June 6 -
The advisor is the latest to join the high-end wealth manager.
May 14 -
Kwame Brown has played for teams such as the Los Angeles Lakers and Washington Wizards.
May 11 -
Which wirehouse offers advisors the most freedom? Which offers the least? And when should advisors shun the channel and break away?
May 4 -
A company’s refusal to hire a candidate because their work authorization papers will ultimately expire “may constitute illegal discrimination,” according to the Department of Homeland Security.
May 4 -
Miguel Ballestas was discharged from the firm after allegations of insider trading.
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