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Stephens recruited an executive with more than 30 years experience, whose career includes stops at Wells Fargo, Credit Suisse, Lehman Brothers, PaineWebber and Merrill Lynch.
December 7
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An arbitration panel ordered the wirehouse to settle the latest dispute stemming from client investment losses tied to the island commonwealth's massive debt crisis.
December 6
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The advisers had about $1.5 million in annual revenues when they were at the wirehouse, according to the regional firm.
December 6
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The number of hurdles will stay the same under the 2017 plan, a source familiar with the matter says.
December 2
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The firm detailed its compliance plans while acknowledging that the regulation could be changed under President-elect Trump.
December 1
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Why it may be time to stop calling the firm a wirehouse.
December 1
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Robo advisers may have found the answer to a lingering problem for the financial industry: serving the mass-affluent in a profitable way.
December 1
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A planner's lawsuit claims the bank improperly funneled $3 billion into its own target-date funds.
November 30
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Next week, we'll unveil our annual Top Bank Advisers. In the meantime, see how you measure up to the leading advisers in the channel.
November 30
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A handy guide for advisers, legislators and regulators to decode the jargon used to talk about issues important to the planning profession.
November 30
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Why executives think forthcoming technologies will secure the firm’s lead as a digital innovator.
November 30 -
A FINRA panel ordered the wirehouse to pay damages to two former clients who invested in Puerto Rican municipal bonds and closed-end funds.
November 29
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Keith Banks, president of U.S. Trust, is getting new responsibilities at the firm.
November 21
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The wirehouse's moves are intended to remain competitive in the recruiting contest for top brokers.
November 21
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The move limits the bank’s ability to make golden-parachute payments and requires regulator approval before executives are hired.
November 19 -
Robert Peyreigne was hired to fill the role after Michael Armstrong departed Jefferies for RBC earlier this year.
November 18
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The planners left J.P. Morgan, UBS and Merrill Lynch to go into business for themselves.
November 17
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The regional firm ups its recruiting momentum with two wirehouse advisers.
November 17
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The new hires come from RBC, UBS and First Republic.
November 17
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The new recruits come from Stifel and IBD ValMark.
November 14
