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This year’s list, like last year’s, was created through a formula encompassing AUM, production and percentage of fee-based business.
December 13
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It was Ray Jay’s tech and in-house marketing agency that initially appealed to the team.
December 10
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Judge temporarily barred the advisor from soliciting former clients ahead of a FINRA arbitration hearing.
November 26
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The new hires come from rivals Merrill Lynch, Wells Fargo and RBC.
November 25
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The firm has picked up 19 advisors and opened six offices this year.
November 12
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The new hires came at the expense of Merrill Lynch and Wells Fargo.
November 11
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As the college savings vehicle grows in popularity, regulator up scrutiny of brokerages’ recommendations to clients.
November 6
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Two of the new hires have more than 20 years of industry experience each.
November 4 -
The dispute involves dueling claims of fiduciary responsibilities.
October 30 -
The departures include a team that managed $380 million.
October 25
