Commercial banking
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Now at Wells Fargo, Matthew McCrea is accused of violating a nonsolicitation agreement he signed at JPMorgan. The suit echoes allegations JPMorgan made days earlier against a broker now at Morgan Stanley.
June 16 -
Phil Buffington is a partner at Balch & Bingham LLP, advising banks and fintechs on regulatory strategy, corporate governance, compliance and risk.
June 16 -
Emily Shaw is the founder of
DocFly , an online PDF editor. As a software developer, she built the site from scratch and is responsible for its operations and continued growth. Previously, she studied engineering at the University of Hong Kong and mathematics at the University of Manchester.June 16 - June 15
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The industry watchdog is walking away from more than a dozen regulatory reforms that had drawn staunch opposition from advisors and industry groups.
June 13 -
The fintech and nonprofit join others, including AARP and the ICBA, in working to raise awareness of the financial risks of Alzheimer's and dementia.
June 13 -
RBC Wealth goes to UBS again to pull over advisors with large AUM tallies; Carson Group buys a firm in Colorado, and Goldman Sachs alumni set up an RIA through Dynasty Financial.
June 13 -
In February, the organization released its "Generative AI Ethics Guide," which may be updated based on the group's findings.
June 13 -
An advisory panel has recommended changes that would bring arbitration rules for RIAs into line with those now governing FINRA proceedings for broker-dealers. The proposal still has to get through the SEC.
June 12 -
Net of expenses, many financial advisors and investors could find similar yields and exposure for their portfolios elsewhere, according to a Morningstar study.
June 12 -
Some analysts see inflation around the corner. Here's how to keep clients calm.
June 12 -
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A Morningstar study found that clients who get AI-generated emails think their advisors should take a pay cut.
June 12 -
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U.S. regulators have asked Wall Street firms racing to launch solana exchange-traded funds to revise their paperwork.
June 12 - June 12
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The sale of federal land would provide billions of dollars to help pay for the massive package of tax cuts in the Senate's version of the bill.
June 12 -
With the industry awaiting the regulator's looming actions, the index fund giant is seeking to apply its dual share class structure to actively managed strategies.
June 12 -
Brian Feeley is Senior Vice President of Marketing for Corporate Synergies and provides messaging on the firm's ability to deliver unique services focused on group employee benefits and P&C insurance. He leads a skilled in-house marketing and communications team focused on client education and industry thought leadership.
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