Wealth Management industry news covering the financial markets, trends and wealth professionals.
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CHRISTOPHER DODD, U.S. Senator, Connecticut LAST YEAR'S CHALLENGE: As chairman of the powerful Senate Banking, Housing & Urban Affairs Committee and the longest serving Senator in Connecticut's history, Dodd is at the nexus of any financial system...
JD Power & Associates finds that the strength of the advisor relationship with clients is the biggest factor influencing client opinions of the advisor’s firm and their own portfolios
Deutsche Bank Alex. Brown, the US Private Client Services division of Deutsche Bank Securities Inc. and Deutsche Bank Private Wealth Management, has appointed Shawn Sullivan as a Director and Client Advisor in its Boston office. Sullivan joins the...
Not Approved: The SEC charged Morgan Stanley and one of its investment advisor reps for misleading clients about the money managers being recommended to them and failing to disclose conflicts of interest. According to the SEC, Morgan Stanley...
The recruiting frenzy among regional firms for breakaway wirehouse brokers is still going strong. Robert W. Baird, Commonwealth Financial and RBC Wealth Management announced recruiting coups.