Compensation
Compensation
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In the first wave of cases under the regulator’s self-reporting initiative, it garnered more than $2.7 million in payments of restitution plus interest.
December 30 -
A deep dive into all the critical questions, strategies and tax planning moves for clients and their university-bound children.
December 29 -
Just like the industries that they cover, the lack of Black representation among news outlets acts as a barrier against understanding and eliminating systemic racism.
December 28 -
With an eye on pathways to fee-only practices and away from an “eat what you kill” philosophy, four planners aim to usher in a more diverse profession.
December 22 -
The new additions join a set of big hires at the wirehouse.
December 21 -
The UHNW unit signed advisors managing a combined $3.7 billion this year and committed to maintaining a physical presence in its New York headquarters.
December 21 -
LPL Financial and indie rivals like Raymond James, Wells Fargo FiNet and Kestra Financial completed at least 17 recruiting grabs of $800 million or more this year.
December 18 -
Like its largest rivals, the wirehouse kept grids at par after a tumultuous 2020.
December 17 -
The firm has about 200,000 staffers doing their jobs from home, a spokesman said.
December 17 -
It’s the second-biggest hire of the year for the wirehouse.
December 15 -
The firm’s four new additions came from two wirehouses.
December 15 -
It’s one of the largest teams to quit a wirehouse this year.
December 14 -
After a volatile year, advisors get a reprieve when it comes to payout changes.
December 14 -
It won’t just change the composition of corporate board rooms. It may change conversations with clients too.
December 14 -
Regulatory shifts, M&A, new technology — there’s a lot on the horizon for the industry.
December 13 -
The OSJ scooped up teams from Edward Jones, Wells Fargo Advisors and Wedbush Securities.
December 11 -
The latest deal by a wealth manager for an employee services firm enables the Raymond James Private Client Group to expand its reach.
December 11 -
The firm has added 42 advisors this year with a combined $3.8 billion in AUM.
December 10 -
Alterations include higher hurdles for cash pay, a grid stretch for deferred compensation and new bonuses.
December 10 -
An employee who left in 2018 said she experienced a barrage of racial and sexual antagonism while at the firm, such that “it is not possible to list all of the comments and conduct in one document."
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