Updated Wednesday, October 1, 2014 as of 8:29 AM ET
Advisors: Know the Alternatives
The profitability of alts for investment managers and product originators promises that the deluge of alternative investment opportunities will continue.
More in Wirehouses
A FINRA arbitration panel ruled a broker caught in an insider trading scandal must pay back over $3 million to Morgan Stanley. more »
A wirehouse advisor team managing about $400 million in assets has left UBS to join Snowden Lane Partners, an independent firm. more »
FINRA has issued a long-awaited regulatory notice outlining the proposal for a controversial data-sharing system known as CARDS, asking for comments from the industry and other stakeholders. more »
At an advisor summit, the industry group urges members to reach out individually to lawmakers to fight regulatory plans. more »
Bank of America agreed to pay $7.65 million to settle U.S. regulatory claims that it overstated its capital by billions of dollars after failing to report losses tied to its 2009 purchase of Merrill Lynch & Co. more »
Raymond James' annual Women's Symposium, to be held Oct. 8, is due to feature leading women in the financial services industry, including Sallie Krawcheck. more »
Four Wells Fargo advisors have left the wirehouse to join Benjamin Edwards, opening the regional broker-dealer's 49th office. more »
Alternative investments have been growing rapidly in popularity in recent years as new funds have been mushrooming and money has been flowing in. Andy Saperstein, Morgan Stanley’s head of investment products and services, explains the wirehouse’s history of working with alts and Morgan’s current approach to leveraging them in client portfolios. more »
Two advisors with $80 million in AUM leave Wells Fargo for RBC Wealth Management. more »
Mention bankruptcy on a Form U4 and there's no erasing it, even if you settle your debts. more »
Female executives from U.S. Trust and Goldman Sachs join New York-based Dynasty Financial Partners. more »
Morgan Stanley lures highly lucrative talent from Merrill Lynch while Washington Wealth Management grabs advisors from RBC and Wells Fargo plucks four from UBS. Here are the most recent moves among wirehouse advisors. more »
Consumer and industry advocates are criticizing FINRA over its alternative to a proposal that would have required recruiting firms to disclose advisor compensation incentives to clients when moving between brokerages. more »
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