Wealth Management industry news covering the financial markets, trends and wealth professionals.
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Are there too many redundant regulators crawling all over Wall Street brokerages? Or, put another way, are federal securities laws crafted in the 1930s still effective 70 years on? And, more important, is a privately owned, for-profit NYSE Group...
Short-sellers have been blamed for the Great Crash of 1929 (turns out unfairly) and all kinds of market manipulation in the years since. But, as investors learned in the three-year bear market, it may not be so smart to be un-hedged all the time...
Today marks the end of the comment period for the NASD proposal requiring more stringent rules governing gift and entertainment practices on Wall Street and, while the NASD won’t say what the response has been until Thursday, the proposal is...
Yesterday, Morgan Stanley became the third wirehouse, after Merrill Lynch and UBS, to settle class action suits with California brokers over overtime pay in the past seven months – the second in three weeks.
The NASD is showing its pride over the popularity of its 10-month old online regulation and compliance educational programs. Still, from the student prospective, it’s tough to tell how much of an impact the programs are really having.
Private wealth group at a major financial institution is looking for a SR VP to advise on family issues. J.D. is preferred but M.B.A. or Ph.D. with experience is fine. Will handle conflict, governance and succession issues as well as planning with...
Location City: seacoast or Manchester/Concord area. Location State: NH Base Salary: 50,000 - 60,000 DOE Bonus & Incentives: N/A Position Responsibilities: Opportunity to join one of the most dynamic, team oriented financial groups in New England...
Location City: San Diego Location State: CA Base Salary: 120-140K DOE Bonus & Incentives: Bonus usually averages 20-30% of base. Position Responsibilities: Develops, recommends, and directs execution of investment strategies for a group of clients...
Location State: KS Salary Range: $100,000 Bonus & Incentives: Banks pay a bonus on based on bank earnings. Position Responsibilities: Be #2 in a $75MM dollar Trust dept of a $200MM bank. Dept has $30MM in personal trust and needss to grow. Bank...
Location State: GA Salary Range: 115,000-140,000 Position Responsibilities: Manage a team of private banking officers who are responsible for individuals with high net-worth. Responsibilities include overseeing the private banking officers'...
