UBS’s longtime Chicago complex manager will be chief operating officer of Raymond James & Associates.
Ex-Morgan Stanley/Smith Barney manager will be tapped to revive far-reaching branch group, some of which are leaderless after anti-money-laundering settlement.
Settlement with SEC receiver ends five lawsuits hanging over the brokerage firm related to claims that it abetted massive fraud against foreign investors.
Florida firm halves some headhunters’ upfront fee to 3% of a recruit’s trailing-12 revenue.
Frank Amigo, manager of firm’s South Florida complex, allegedly helped a broker arrange margin loans for client accused of $200 million Ponzi scheme.
South Carolina’s Preston Covington, former Interstate Johnson Lane branch manager, says Florida firm’s culture ‘just felt right.’
Firm may have been “lucky” in delaying restrictive changes in pricing and products that may not be necessary, executive says.
Kathryn Hayden, 65, is “amicably” splitting the $300 million book she and her former teammate had run.
Woman who advised brokers on succession planning has resolved her sexual harassment claim.