Morgan Stanley's Earnings Rise on Strength in Wealth Management Wall Street Journal.
After Xiao complained at her previous office, Morgan Stanley allegedly transferred her to the Santa Monica office, where Richert then allegedly touched her inappropriately and made lewd comments, the suit says, according to Patch.com. Richert also .
JPMorgan is postponing moving certain clients to its self-directed platform while it waits to see what will happen to the Department of Labor's stalled fiduciary rule, as it's possible Donald Trump's administration might rewrite or repeal the provision.
The world's biggest retail brokerage firm, as measured by its force of almost 16,000 advisors, last June sent clients “a communication containing [their] effective advisory fee rate with an instruction to contact the client's financial advisor with any.
NEW YORK (MarketWatch) -- Brokerage joint venture Morgan Stanley Smith Barney recently hired a team of financial advisers from Wells Fargo Advisors, a unit of Wells Fargo & Co. WFC, +0.67% On Aug. 4, Michael Parziale and Daniel Morilak--The Pangaea Group.
1 Monthly Portfolio Performance Review by TOM McShane Graystone Consulting (A business of Morgan / Stanley Smith - Barney ), and Discussion Regarding Recommendations, Possible Action Regarding the Firemen's Pension Fund Portfolio Performance, and ... 10.
By executing the trades in violation of Morgan Stanley's policies while at the same time concealing the true identities of the underlying customers, Finra said that the firm was unable to conduct appropriate suitability and anti-money laundering.
The Labor Department is currently reviewing the fiduciary rule, which purports to require retirement account advisors to put clients' interests first and went into partial effect June 9. But U.S. Justice Department lawyers, writing in a brief filed.
Review the Morgan Stanley Smith Barney LLC Select UMA ADV brochure carefully with ... To obtain a prospectus, please contact your Financial Advisor. Please read the prospectus carefully before investing. Variable annuities are long-term investment vehicles.
“The bottom line is that IRA rollovers are no longer going to be a slam dunk,” Blanchett tells FA -IQ. “Advisors aren't ... Last month, the New York-based tech developer rolled out an advisor-enhanced service platform to review IRA transfers and 401(k.
It operates a whistleblower office; triages information from various sources including tips from Finra field examiners, regulatory filings, media reports and investor complaints; expedites the review of high-risk tips and fraud-related matters by.
If confirmed, president Donald Trump's pick to head the Department of Labor would follow the presidential memorandum directing the agency to review its fiduciary rule, the Wall Street Journal reports. Alexander Acosta said in his Senate confirmation.
Finra has fined Morgan Stanley $3.25 million for alleged supervisory failures related to the the sales of unit investment trusts, according to a press release from the industry's self-regulator. The wirehouse was also ordered to pay back around $9.78.