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Current and former clients claim personal information, including Social Security and passport numbers, have been exposed due to negligence.
August 3 -
The wirehouse added a pair of veteran advisors from its rival after picking up several new hires in recent weeks.
July 31 -
The Minnesota-based Falldin-Mattson Group was previously at Morgan Stanley.
July 29 -
To thwart a multifactor verification system, he once used a victim’s home phone to authorize transactions.
July 22 -
Non-disclosure agreements and mandatory arbitration are part of what critics call a machine of silence that shields bad behavior from becoming public.
July 22 -
The group had been at their previous firm for 14 years.
July 20 -
Wealth management profits fell, but a steep rise in transactional business offset some of the decline.
July 16 -
Fixed-income trading revenue almost tripled, driving a 73% jump in total trading that surged past expectations.
July 16 -
Advisor Antoine Souma, who leads the group, had been with the wirehouse for just four years.
July 9 -
One recruit left an IBD to join the wirehouse.
July 9