Team who had been with the Swiss bank’s private wealth group for 11 years accept offer from rapidly expanding bank.
New SEC boss Jay Clayton says regulator wants to “simplify and enhance tools…to help investors conduct background searches on their investment professionals.”
Complex manager William Shinners to retire at age 60, following a rash of other metropolitan New York middle-management exits.
Law firm run by former SEC chairman scrutinized internal audits after previously criticizing Opco’s corporate governance, management and compliance programs.
After one-year hiatus with SunTrust, Dwight Mathis returns to run Long Island branches for the Thundering Herd while Wells’ Kevin Ortmeyer leaves after 25 years in Illinois for Stifel.
FallLine Securities, founded three years ago as a home for “private banking”-level brokers, picks up 14-year UBS veteran in Dallas.
Phil G. Fiore, who was discharged by UBS in November, is hit with a lawsuit aiming to prohibit him and three former members of a $6 million team in Connecticut from soliciting former clients to join his fledgling business.
Most popular stories and comments from June 12 through 17.
Jeff Crystal, a longtime Morgan Stanley branch manager, is preaching the virtues of working as an independent adviser through a new unit of a company owned by the son of auto-racing mogul Roger Penske.
The small brokerage unit of the New York-based investment bank bid farewell this week to Chief Operating Officer Frank Scheuer and $3.25 million-producer Rick Davidson, both Credit Suisse/DLJ veterans.