All-Women Advisory Team With $335 Million AUM Joins Janney
Jan 21, 2020
The five-person Dupre Keating Group is based in Pennsylvania and will join Janney from Morgan Stanley.
los-altos-main-street.jpg
Cerity Partners Adds $1 Billion AUM Sullivan & Serwitz in California
Jan 21, 2020
Cerity Partners announced the acquisition of $1 billion AUM Sullivan & Serwitz.
UBS sign
Wickham Cash Partners Joins UBS Private Wealth
Jan 21, 2020
A $10 billion AUM wealth management team based in Charlotte has joined UBS.
Robert Mugabe
Dead Celebrity Podcast: Robert Mugabe and Overcoming Fear of Estate Planning
Jan 21, 2020
Former Zimbabwe President Robert Mugabe spent his life inspiring fear in others but was unable to overcome his own fear of estate planning.
FINRA
FINRA Names Jessica Hopper Head of Enforcement
Jan 17, 2020
Hopper has acted as the Enforcement Department's acting head since Susan Schroeder departed FINRA in September.
Goldman Sachs
Goldman Reveals It’s Still a Small Player in Pursuit of Rich
Jan 17, 2020
The $4.4 billion in revenue for Goldman Sachs' private banking and wealth management group is tiny compared to brokerage behemoths Morgan Stanley, Merrill Lynch and even JPMorgan Chase.
John Clendening
Blucora CEO John Clendening Steps Down
Jan 17, 2020
Executives assure advisors the move won’t affect the progress of the wealth management business and its recently announced acquisition of HK Financial Services.
SEC Commissioner Robert J. Jackson Jr. (L) and Securities and Exchange Commission Chairman Jay Clayton
SEC’S Jackson Leaving Next Month to Return to Teaching at NYU
Jan 17, 2020
Since joining the SEC in January 2018, Jackson has often led opposition to policies pushed by Chairman Jay Clayton.
Load More