Most Read
J.P. Morgan Aims to Double Roster of Traditional Brokers to 1,000
Phil Sieg, who took over as Chief Executive of J.P. Morgan Advisors in April, outlined the plan as part of a broad strategy shift for the unit.
J.P. Morgan Private Banker in NY Joins Top Morgan Stanley Producer’s Indy Team
A private banker who sources said may have been responsible for as much as $4 billion in assets is staying in New York but has joined a team led by a Chairman’s Club producer in Indianapolis.
SEC Commissioner Peirce Warns Again Against ESG Disclosure Requirements
Asset managers, lawyers, consultants, ESG rating agencies, and even the corporate issuers of securities could push for rules that are ultimately not useful for investors, SEC Commissioner Hester Peirce said.
Texas Broker Suspended As Finra Sharpens Focus on Outside Activities
The industry’s self regulator issued a three-month suspension and $5,000 fine against a former Morgan Stanley broker who allegedly did not receive approval for a fund-raising endeavour.
