The Bapis Group, a $1.2 billion advisory team, leaves HighTower to join former Morgan Stanley wealth exec Greg Fleming’s Rockefeller Capital Management.
Financial consulting firm Morton Wealth Management is the latest company to join the fee-based advisory firm specializing in endowments, foundations and HNW clients.
The SEC charged biotech billionaire Phillip Frost in a market manipulation scheme involving two microcap companies.
Joel Burstein, a former Raymond James branch manager, has been barred from the industry for 10 years and agreed to pay $80,000 for helping his former father-in-law cover up investment fraud.
Executives and others have created a library of works for the company. Now they’re sharing it with everyone.
Christine Carona left UBS because she alleges that the company and her male boss tried to block her career path.