Team who had been with the Swiss bank’s private wealth group for 11 years accept offer from rapidly expanding bank.
Marquee advisor whose “consulting group” network oversees some $4 billion leaves with four others to form RIA after 24 years with Morgan Stanley.
Florida broker’s vicissitudes highlight sensitivity of having close relatives as clients.
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.