Wirehouses

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NEWS WIREHOUSES JUN 04, 2012
McCann the top-paid exec at UBS

UBS Wealth Management records another solid quarter under ex-Merrill big — but compensation's a hot topic right now for the bank's shareholders

NEWS WIREHOUSES JUN 01, 2012
New wirehouse math: Inside the numbers

NEWS WIREHOUSES MAY 31, 2012
Former Merrill advisers off to rocky start at Morgan Stanley

Agree to return customer info in protocol flap; decision now rests with Finra panel

NEWS BROKER DEALERS MAY 29, 2012
Kent Christian changes channels, set to head up FiNet

Moving from Wells Fargo's Financial Services Group to indie B-D

Will FiNet's new bonus scheme change the industry?
NEWS BROKER DEALERS MAY 29, 2012
Will FiNet's new bonus scheme change the industry?

Wells Fargo B-D aims to reward reps who bring in new business; no longer 'recruit or die'

NEWS WIREHOUSES MAY 25, 2012
Crackdown on exotic ETFs moves forward

Latest defection: $1.4B Merrill team jumps to HighTower
NEWS WIREHOUSES MAY 25, 2012
Latest defection: $1.4B Merrill team jumps to HighTower

Fourth big signing for firm this year; 'a great mousetrap'

NEWS BROKER DEALERS MAY 17, 2012
Finra may give up lock on BrokerCheck

In a move that could have a serious impact on the advice business, Finra is considering giving private vendors access to the regulator's data on licensing and disciplinary actions.

NEWS WIREHOUSES MAY 11, 2012
Cohan: Forget Macau, Wall Street's where the biggest casinos are

NEWS BROKER DEALERS MAY 11, 2012
Wirehouses luring talent at indie B-Ds

Desperate to reel in star brokers, the wirehouses are fishing more than ever in the unlikely and foreign waters of independent-contractor broker-dealers to hook their top representatives

Merrill: Ex-brokers gave up right to stock when they left brokerage
NEWS WIREHOUSES MAY 07, 2012
Merrill: Ex-brokers gave up right to stock when they left brokerage

Dispute claims of reps who left after BofA merger

Ex-Merrill execs hope to get mileage out of hybrid model
NEWS WIREHOUSES MAY 07, 2012
Ex-Merrill execs hope to get mileage out of hybrid model

Mooney, Morris launch Snowden Capital Advisors; counting on word of mouth to attract advisers

NEWS WIREHOUSES MAY 04, 2012
Merrill Lynch loses $10.2M broker-pay case

By any standard, it was a big loss. A Finra panel on Wednesday not only ordered the brokerage to pay two ex-workers $5.2M in back pay, but tacked on a $5M punitive charge. Now, Merrill is striking back. In a court petition seeking to overturn the ruling, the brokerage claims a panel member has it in for the firm.

NEWS WIREHOUSES MAY 03, 2012
Latest UBS move seen as sign wealth management isn't for sale

Bank wouldn't undertake centralization of investment, research functions if Americas unit were on the block, consultant surmises

NEWS FINTECH APR 29, 2012
Promising investors a peek at prices

NEWS WIREHOUSES APR 27, 2012
The Goldman Op-Ed furor: Who are the 'muppets'?

Greg Smith's parting shot at Goldman Sachs in a scathing New York Times Op- Ed piece yesterday has touched off a firestorm.

LPL affiliate scooped up more than 140 new advisers in 2011
NEWS BROKER DEALERS APR 20, 2012
LPL affiliate scooped up more than 140 new advisers in 2011

Independent Financial Partners aims to push recruitment this year — and add $30 million in GDC

Citi willing to unload rest of Smith Barney stake: Analyst
NEWS WIREHOUSES APR 19, 2012
Citi willing to unload rest of Smith Barney stake: Analyst

Bank interested in selling remaining 35% share of brokerage to MSSB -- if the price is right

Wells Fargo's buy of Merlin spells entry into prime brokerage biz
NEWS WIREHOUSES APR 18, 2012
Wells Fargo's buy of Merlin spells entry into prime brokerage biz

Purchase will boost bank's clearing and record-keeping capabilities

Thundering Herd should stay stable post-Krawcheck
NEWS WIREHOUSES APR 18, 2012
Thundering Herd should stay stable post-Krawcheck

Life continues to get more complicated for Merrill Lynch advisers operating under the umbrella of beleaguered parent Bank of America Corp.