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          • James Gorman, Chairman and CEO Morgan StanleyMorgan Stanley’s Gorman Tops Dimon as Best-Paid Big Bank CEO
          • Reading financial newsThis Week’s Top Stories: Morgan Stanley Boots Texas Broker, Merrill’s 2020 Growth Numbers and More
          • RIA DealsRIA Deal-making Hits Record Despite Pandemic
          • Advisor MoneyWells Fargo Recoups $2.5 Million from New Jersey Duo
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          • Boca Raton, FloridaRockefeller Lures Two Florida Teams with $9.8 Mln Revenue
          • Morgan Stanley, UBS Advisor movesMorgan Stanley Rehires $3.3-Mln UBS Team in North Carolina
          • Lars Olson of Sanctuary Wealth Partners in Marion, OHSanctuary Hires $435-Mln Merrill Team, Snowden Lures Another from Retirement
          • Stifel Investment CompanyStifel Hires 33-Year Brokerage Vet from Jefferies in Dallas
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          • Advisor MoneyWells Fargo Recoups $2.5 Million from New Jersey Duo
          • Businessman in prison, fraudWells Fargo Claws Back $3 Million from Jailed Ex-Broker
          • Finra signFinra Fines, Supends Ex-Ameriprise Broker Who Flipped ‘A’ Shares
          • Barred from the securities industry.SEC Puts Nail in Ex-Morgan Stanley Broker’s Career Coffin
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News

James Gorman, Chairman and CEO Morgan Stanley
1/23/21 | News | JP Morgan, Morgan Stanley

Morgan Stanley’s Gorman Tops Dimon as Best-Paid Big Bank CEO

Reading financial news

This Week’s Top Stories: Morgan Stanley Boots Texas Broker, Merrill’s 2020 Growth Numbers and More

1/23/21 | News

Most popular stories from January 17 to January 23.

Read More

RIA Deals
Mercer Advisors

RIA Deal-making Hits Record Despite Pandemic

1/22/21 | News

An Echelon Partners report says the 124 deals done in the second half of 2020 made it ‘by far the most active period’ in the industry’s history.

Read More

Echelon Partners, M&A, Mercer Advisors, RIA, Wealth Management
FINRA, Morgan Stanley, Wells Fargo

Wells Fargo Recoups $2.5 Million from New Jersey Duo

1/22/21 | Enforcement, News | 1 Comment

Brokers who brought a ‘constructive discharge’ claim against the firm in 2017 have agreed to repay the balance on six promissory notes, according to an arbitration award.

Read More

Arbitration, Enforcement, Finra, Morgan Stanley, Promissory Note, Wells Fargo
Overtime law
Wells Fargo

Former Wells Client Associate Files Overtime Class-Action Suit

1/22/21 | News | 2 Comments

Lawsuit claims Wells Fargo Advisors violated Missouri and federal law by failing to pay overtime wages to client associates who regularly work more than 40 hours a week.

Read More

Class Action, Client Associates, Hourly Workers, law, Overtime Pay, Wells Fargo, Wells Fargo Advisors
Financial advisor fired for Black Lives Matter confrontation
Ameriprise, Morgan Stanley

Morgan Stanley Fires Another Broker Over Inherited Account Issues

1/21/21 | Most Read, News | 5 Comments

Dallas broker was discharged in Morgan Stanley’s continuing pursuit of advisors who allegedly cheated retired advisors on accounts they passed along.

Read More

Ameriprise, FAP, Fired Broker, Inherited Accounts, Texas
Treasury Secretary - designate Janet Yellen

Yellen Leaves Door Open to Tax Increase on Wealthy Americans

1/21/21 | Most Read, News

Treasury Secretary-designate Janet Yellen refrained from making specific pledges on boosting individual tax rates in responses to questions from U.S. senators, pledging only to work with lawmakers on the issue of whether households earning up to $400,000 a year would face increased levies under Biden administration proposals.

Read More

Spokane, Washington
Charles Schwab, Mercer Advisors

Mercer Extends RIA Acquisition Spree with Washington State Deal

1/21/21 | Most Read, News

Purchase of Spokane-based Hart Capital Management by Mercer Global Advisors in December was the RIA rollup’s fifth closing that month.

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M&A, RIA, Washington State, Wealth Management
Lady Justice
Morgan Stanley, RBC, UBS

RBC Team Seeks Tit-for-Tat Solicitation Halt Against Morgan Stanley

1/20/21 | Most Read, News | 7 Comments

Princeton, NJ, advisors say Morgan Stanley is soliciting clients they brought with them when they moved from UBS in 2010, in violation of written and verbal agreements.

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Employment Law, New Jersey, Non-solicitation Agreement, TRO
Morgan Stanley
E*Trade, Morgan Stanley

Morgan Stanley Q4 Wealth Revenue Up 24%, Profit Down 4%

1/20/21 | Most Read, News | 2 Comments

Morgan Stanley’s October acquisition of E*Trade spurred a big gain in quarterly trading and net interest income, along with soaring integration costs.

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Earnings, Fourth Quarter, Morgan Stanley Wealth
Morgan Stanley
Morgan Stanley

Morgan Stanley Traders Drive Earnings Surge for Best Year

1/20/21 | News

Morgan Stanley traders cashed in during the waning months of 2020 to round off the bank’s best year on record.

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Merrill Lynch Exterior Sign and Logo
Bank of America, Merrill Lynch

Merrill Touts Success of Growth Strategy in Pandemic-Afflicted Year

1/19/21 | Coronacrash, News | 29 Comments

Net new assets rebounded and customer balances hit a record thanks to rising markets and a renewed focus on prospecting by Merrill’s “thundering herd.”

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Earnings, Growth Grid, Household Acquisition
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Tony Sirianni Podcast Banner

CORONACRASH NEWS

  • Raymond James Slashes CEO Pay 17% in Turbulent Year

    Raymond James Slashes CEO Pay 17% in Turbulent Year

    Jan 8, 2021
  • Solomon Sees Vaccine Bringing Goldman Staff Back by End of Year

    Solomon Sees Vaccine Bringing Goldman Staff Back by End of Year

    Jan 5, 2021
  • J.P. Morgan Bank Broker Cleared of Coronavirus Crash Claim

    J.P. Morgan Bank Broker Cleared of Coronavirus Crash Claim

    Dec 4, 2020
  • Edward Jones Broker Count Up 5%, Firm Pauses Branch Growth

    Edward Jones Broker Count Up 5%, Firm Pauses Branch Growth

    Nov 5, 2020
  • Merrill Wealth Slowly Eases Out of Covid Slump

    Merrill Wealth Slowly Eases Out of Covid Slump

    Oct 14, 2020

NEWS

  • This Week’s Top Stories: Morgan Stanley Boots Texas Broker, Merrill’s 2020 Growth Numbers and More

    This Week’s Top Stories: Morgan Stanley Boots Texas Broker, Merrill’s 2020 Growth Numbers and More

    Jan 23, 2021
  • RIA Deal-making Hits Record Despite Pandemic

    RIA Deal-making Hits Record Despite Pandemic

    Jan 22, 2021
  • Wells Fargo Recoups $2.5 Million from New Jersey Duo

    Wells Fargo Recoups $2.5 Million from New Jersey Duo

    Jan 22, 2021
  • Former Wells Client Associate Files Overtime Class-Action Suit

    Former Wells Client Associate Files Overtime Class-Action Suit

    Jan 22, 2021
  • Morgan Stanley Fires Another Broker Over Inherited Account Issues

    Morgan Stanley Fires Another Broker Over Inherited Account Issues

    Jan 21, 2021

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