Oppenheimer
Oppenheimer Wealth Boss Mark Whaley to Pass the Baton
New York firm says insider Ed Harrington will move from its asset management unit to head the firm’s private client group in February.
Celebrity Analyst Carter Worth Loses Expungement Bid in Oppenheimer Arbitration
Customer who sought $3.5 million from Opco for unsuitable trading wins $800,000, and his broker and a former Opco chartist lose bids to have complaints expunged from their regulatory records.
Oppenheimer Expands Stock Plan Business with Hire from UBS
California-based broker is one of two leaving UBS in the Golden State in recent days, the other in more secretive circumstances.
Aging Broker Workforces Challenge Growth
Regional firms do a lot of talking about roaring ahead with recruiting while wirehouses slow down, but at least two firms concede they are not hiring as quickly as their experienced brokers are retiring.
Oppenheimer Plans Indie Channel, Shifts California Managers
Embryonic unit being formed under former LPL Financial executive Derek Bruton, who hands reins of Newport Beach office to former Merrill manager.
UBS Wins It All in $611K Claim Against Long Island Broker
Arbitration panel awards UBS full promissory note claims and legal fees from a broker who left after just over one year for Oppenheimer.
Oppenheimer Swings to Profit on Tax and Hedge Fund Benefits
New York firm eroded more brokers during the fourth quarter but advisory fee revenue (and executive compensation) soared.
Opco Managing Director to Open L.A. Outpost for Wunderlich
Marty Padilla packs up his million-dollar team for new venture.
Thank You, Morgan Stanley….Wells, RayJay, Opco Get Their Allocations
More veteran brokers jump-started their exits from the wirehouse in anticipation of the loss of protection from the Broker Protection.
Oppenheimer Replaces Long-Time Advisory Account Head
David Aplin, head of asset management product selection and overseer of brokers running discretionary accounts, is replaced after 22 years by a UBS manager.
Oppenheimer Brokers Leave Seattle-Area Branch
A month after losing a $340-million AUM team in its Bellevue, Wash. branch to Stifel, a veteran sole practitioner leaves the office to join a local RIA.