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The wirehouse failed to properly supervise more than $33 billion worth of UIT transactions, according to FINRA.
September 25
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The husband-and-wife team say their new employer reminded them of their first firm, Smith Barney.
September 21
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The regional firm's new hires joined from FSC Securities, Morgan Stanley and Wells Fargo.
September 20
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The advisors join the regional BD’s offices in Chicago and Nashville, Tennessee.
September 18
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Regional brokerages and firms that assist breakaway advisors have been picking off top talent at the wirehouses.
September 5
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Phil Shaffer says changes in the business necessitated a career change if he was to maintain an edge in serving clients.
August 16
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Two of the groups joined the regional firm from Morgan Stanley.
August 14
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They made the move in part because of the marketing and research resources the firm offers, says new hire Todd Kissel.
August 2
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Rising markets boosted revenues for wealth- and asset-management arms at the largest U.S. banks to $18.4 billion in the second quarter, according to data compiled by Bloomberg.
July 20
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The firm needs a digital advice offering for clients who don't want a traditional relationship, CEO James Gorman said.
July 19
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Convinced that clients want as much human interaction as ever, the Wall Street firm is using machine learning to help its financial advisers stay informed and work efficiently.
July 18
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Naureen Hassan says tools in development will make advisers "faster and smarter" in serving clients.
July 13 -
His move is also something of a reunion, as Steward Partners CEO Jim Gold once served as his manager at Smith Barney.
July 6
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The new hires generated almost $2 million in annual revenue, according to the regional firm.
June 29
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The group joined the regional broker-dealer from Morgan Stanley.
June 26
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They play a critical role in recruiting and supporting advisers. See who made the cut for this year's honoree list.
June 26
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Demographics and competitive forces are destined to weaken the determination to avoid expensive recruiting packages.
June 26
Mark Elzweig Co. -
The wirehouse said recently it plans to stop recruiting experienced advisers, but made an exception if talks with recruits started before June 1.
June 15
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The cases stem from the investment advice given by a now barred broker, who is accused of soliciting funds for a Miami Beach nightclub he owned.
June 14
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On Wall Street annually spotlights the work of the industry's elite leaders.
June 13
