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Merrill Loses $3-Mln Team to Rockefeller in CA, $2-Mln Group to Texas RIA
Group joining Rockefeller in Irvine had generated $3 million in revenue and follows Rockefeller’s hire last week of a $2.5 million Merrill team in Denver.
Finra Dings Ex-Morgan Stanley Broker in Los Angeles over Expense Lapse
Advisor and local restaurateur Kerry Moy accepted a two-month suspension and $5,000 fine for allegedly including the wrong names of attendees on business meals when seeking reimbursement.
Raymond James Executive: We’re Open to Flexible Work Arrangements for Advisors
Scott Curtis, head of RayJay’s more than 8,000 advisors, says some may be able to work from home indefinitely with adequate in-office support.
Morgan Stanley Faces $5 Million Claim from NBA Star Chandler Parsons
The filing appeared on the record for a California broker and managing director who is part of Morgan Stanley’s Sports and Entertainment Group.
