Morgan Stanley

The FINRA arbitration decision omits any details or reasoning for the award in a case involving a broker’s email to his former colleagues.

Executives of firms like J.P. Morgan, Morgan Stanley and Bank of America benefited from a stronger market in 2021 that increased incentive pay.

Will its portfolio managers be comfortable working with ETFs and their transparency and capacity issues?

Across an industry that was already split on returning to work, policies are diverging more than ever.

CEO James Gorman says the company has created something new by adding Solium and E-Trade to its existing force of financial advisors.

Raymond James’ advisor employee headcount has remained relatively flat over the last five quarters, while its 1099 channel saw an increase of 3% over the same time period, according to the company’s latest earnings report.

David DeVoe, founder and CEO of DeVoe and Company, says Mariner's acquisition of Allegiant is likely the beginning of its next phase of momentum with RIA transactions, following the investment of its new PE partner earlier this year.

JPMorgan, BlackRock and Morgan Stanley say the bond-market gains that have sent yields into a sudden tailspin are nothing to worry about.

The exposed information includes customer names, dates of birth, Social Security numbers and company names.

The stress tests used to trigger anxiety across Wall Street, but the banks’ solid showing underscores how comfortable the industry has grown with the exercises.

A state treasurer’s program in collaboration with the Ford Foundation has attracted 18 firms including UBS, BlackRock, Morgan Stanley, Citi and Goldman Sachs.

This likely means an ex-diversity chief from the firm will no longer be able to testify in a class action lawsuit with similar allegations, according to a legal expert.

Concurrent is catering to breakaway teams assessing their options after back-office frustrations during the coronavirus, co-founder Mike Hlavek says.

Senator Elizabeth Warren and other critics plan to ask whether banks are prioritizing buying back stock and rewarding employees over supporting the real economy.

The spot as James Gorman’s top deputy had been vacant for two years since the exit of the firm’s colorful President Colm Kelleher.

Two advisors left their prior firm of 10 years after the bank’s wealth and asset management unit generated record net income in the first quarter.

Constantinos Maniatis exercised discretion in seven customer accounts despite the firm no longer allowing discretionary trading, the regulator said.

Axos Financial, which has $14.4 billion across business lines, will gain $23 billion in new assets from 200 RIAs.

Financial Planning continues its four-part analysis of core compensation components at wirehouse, regional and national BDs.

Despite record growth in wealth management, an otherwise rosy earnings report was marred by $911 million loss related to Archegos Capital.