Los Angeles—“I loved your speech. Your insight and research on elite advisors and teams are spot on—a number of points I need to incorporate into my team,” an enthused Tom said after my keynote. “But if I could give you one piece of feedback: You...
Nancy Martignago, a sales assistant for Merrill Lynch in the firm’s Fort Worth, Tex. office, filed a class action lawsuit on Jun. 9 against Merrill in the Southern District of New York for unpaid overtime compensation.
A San Diego wealth management firm has launched a separate practice group staffed by women and targeted at women, specifically high-net-worth women over 45 who own their own businesses, are going through a divorce or have become widows.
The Pagnato-Karp Group, with $1.2 billion in assets, likens HighTower’s model to those that have leveled the proverbial playing fields in other industries.
A recent bill that surfaced in California may result in some independent contractors being reclassified as employees. Could the IBD model be under threat?
Bob McCann is ready to declare a small victory in the UBS turnaround story, but he's still got a long road ahead. He gives the firm's financial advisors much of the credit.
