Inside Wells Fargo & Co., Mary Mack looked like a rising candidate to become its next chief executive officer, shattering the industry’s last glass ceiling.
Edward Jones agreed to pay $40,000 for allegedly inaccurate U4 complaint reporting while Ciitigroup reaches $377,000 settlement on UIT sales abuses.
Finra arbitrators clear discharge notice from Virginia broker’s regulatory record after he and UBS settle firm’s claim for $811,000 balance on his promissory notes.
People with assets of $250,000 to $1 million are set to become a new battleground for the world’s financial firms as declining margins push them to seek out pockets of wealth further down the scale.
The four-time NBA champion, who retired from basketball last week, is embarking on a second career helping athletes manage their money and their futures.
Kerry Moy, a 34-year wirehouse advisor and high-profile Los Angeles restaurateur, has become an independent advisor following his dismissal from Morgan Stanley over allegedly false reporting involving outside businesses.
At least five brokers in four states have migrated to Wells in recent weeks as it bulks up deals to replenish its salesforce.