$4.7 billion funneled into US-listed funds in October was light compared to $23 billion or more during each of three previous months.
Robert Shapiro is settling claims he defrauded investors in a $1.2 billion real estate Ponzi.
Demand for ESG or impact-investing climbs more than $3 trillion to hit almost $12 trillion.
Weak fee revenue and lackluster inflows detailed in earnings reports haven't helped.
Bank wants to scale up its 800 billion asset management business so it can compete with larger rivals.
Dale Cebert, a former Morgan Stanley broker who won an arbitration case against the firm, heads the seven-person team in Florida.
His personal stake fell to about $566 million at end of September, from $775 million a year earlier.
Proposal would bar leveraged products from describing themselves as exchange-traded funds
Funds that track areas like small-cap stocks and semiconductor manufacturers are seeing inflows.
Debt payments could weigh increasingly on company profits, as well as the payouts they make to shareholders.
