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          • Businessman reading financial advisor newsThis Week’s Top 5: Merrill Targets Seasoned Brokers in Key Markets, J.P. Morgan Advisors Replaces CEO, and More
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          • James Gorman, Chairman and CEO Morgan StanleyMorgan Stanley Net New Assets Hit Record $105 Billion in First Quarter
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          • Financial Advisors LeavingRockefeller Lures $2.2-Million Merrill Team in Michigan
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          • Advisor GuiltyEx-Merrill Broker in Chicago Pleads Guilty to $3-Mln Fraud
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News

Sad senior woman
4/13/21 | News | JP Morgan | 1 Comment

Ex-JPMorgan Broker Accused of Bilking Grandma Gets Trading Ban

Bitcoin

First Bitcoin ETF in North America Hits $1 Billion in Assets

4/13/21 | News

Less than two months after launching, the first North American Bitcoin ETF already reached $1 billion (C$1.25 billion) in assets, according to a statement from its issuer.

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Woman in jail
Charles Schwab

Ex-Schwab Customer Arrested after Using Errant Payment to Buy Car, House–Reports

4/13/21 | News | 3 Comments

Kelyn Spadoni, 33, of Harvey, Louisiana, allegedly refused to return the money, which Schwab said was wrongfully sent after a “software enhancement” mistake.

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Financial Advisor
Merrill Lynch, Morgan Stanley

Morgan Stanley Drafts Merrill’s Willie Thomas for Menlo Park Post

4/13/21 | News | 3 Comments

Thomas, a former NFL player who had overseen a Merrill complex in Florida for the past two years, is returning to California to take over Morgan Stanley’s Menlo Park branch.

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J.P. Morgan
JP Morgan, Wells Fargo

JPMorgan Seeks TRO Against Bank Broker Who Joined Wells Fargo

4/12/21 | Advisor Moves, News | 1 Comment

For at least the second time this year, the bank’s broker-dealer deployed the aggressive defensive legal tactic.

Read More

Phone call
Fisher Investments, Merrill Lynch

Fisher Investments Faces Class Claim over Cold-Calling Violations

4/12/21 | News | 9 Comments

The $159 billion-AUM Camas, Washington RIA allegedly made thousands of calls to prospective clients using an automatic telephone dialing system in violation of the Telephone Consumer Protection Act.

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Mergers and Acquisitions
Ameriprise

Ameriprise to Buy BMO Unit, Adding $124 Billion Under Management

4/12/21 | News

Bank of Montreal agreed to sell its Europe, Middle East and Africa asset-management unit to Ameriprise Financial Inc. for 615 million pounds ($847 million), marking Chief Executive Officer Darryl White’s biggest move yet to trim the bank’s portfolio of non-core businesses.

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(Left to right): Joel Gray, William Joshua (Josh) Brown, Scott Thompson and James “Jake” Cluverius, Jr. have left Merrill Lynch to launch a new practice, NorthEnd Private Wealth, with LPL Financial.
LPL, Merrill Lynch

LPL Lures Merrill Team with $650 Mln-AUM to Nascent Breakaway Channel

4/12/21 | Advisor Moves, Breakaway Center, News | 7 Comments

NorthEnd Private Wealth, led by four former Merrill Lynch brokers in Greenville, S.C., is the sixth team to join LPL Financial’s Strategic Wealth Services model.

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Reading phone

This Week’s Top 5: Ex-Morgan Stanley Star Said to Have Bugged Partner’s Office, and More

4/10/21 | News | 1 Comment

Most-read stories from April 4 to April 10.

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Credit Suisse
Credit Suisse

Credit Suisse’s New Chairman to Decide If a Deal Is the Answer

4/9/21 | News | 1 Comment

The damage-control work at Credit Suisse Group AG from a pair of disasters that stunned the banking world will soon give way to the question of how the 165-year-old institution will rehabilitate its business and reputation.

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Chicago, Illinois
Morgan Stanley, UBS

Morgan Stanley Hires $4-Mln UBS Private Wealth Team in Chicago

4/9/21 | Advisor Moves, News | 12 Comments

Four-person group had been overseeing $400 million in client assets and underscores Morgan Stanley’s revived recruiting focus.

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ESG Fund

BlackRock Scores Biggest-Ever ETF Launch With New ESG Fund

4/9/21 | News

(Bloomberg) — An exchange-traded fund investing in U.S. companies that BlackRock Inc. considers most likely to prosper in the transition…

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CORONACRASH NEWS

  • Fed to End Covid-19 Capital Break It Gave Wall Street Banks

    Fed to End Covid-19 Capital Break It Gave Wall Street Banks

    Mar 19, 2021
  • Credit Suisse Replaces U.S. Exec, Halts Bonuses as Clients Fume

    Credit Suisse Replaces U.S. Exec, Halts Bonuses as Clients Fume

    Mar 18, 2021
  • Firing of Billion-Dollar Broker Sends Warning on Work-from-Home Compliance

    Firing of Billion-Dollar Broker Sends Warning on Work-from-Home Compliance

    Mar 12, 2021
  • Big U.S. Banks’ Vows to Halt Job Cuts End as Virus Endures

    Big U.S. Banks’ Vows to Halt Job Cuts End as Virus Endures

    Feb 26, 2021
  • Raymond James Executive: We’re Open to Flexible Work Arrangements for Advisors

    Raymond James Executive: We’re Open to Flexible Work Arrangements for Advisors

    Feb 25, 2021

NEWS

  • This Week’s Top 5: Merrill Targets Seasoned Brokers in Key Markets, J.P. Morgan Advisors Replaces CEO, and More

    This Week’s Top 5: Merrill Targets Seasoned Brokers in Key Markets, J.P. Morgan Advisors Replaces CEO, and More

    Apr 17, 2021
  • Focus Financial Cuts Exec Comp, CEO Pay Falls 16.6%

    Focus Financial Cuts Exec Comp, CEO Pay Falls 16.6%

    Apr 16, 2021
  • Morgan Stanley Net New Assets Hit Record $105 Billion in First Quarter

    Morgan Stanley Net New Assets Hit Record $105 Billion in First Quarter

    Apr 16, 2021
  • Rockefeller Lures $2.2-Million Merrill Team in Michigan

    Rockefeller Lures $2.2-Million Merrill Team in Michigan

    Apr 16, 2021
  • Morgan Stanley Burned by $911 Million Hit on Archegos Blowup

    Morgan Stanley Burned by $911 Million Hit on Archegos Blowup

    Apr 16, 2021

Recruiting Winners: 2020 Year in Review

FINANCIAL INDUSTRY PODCASTS

AllIndependence
The must listen-to podcast for financial advisors by Tony Sirianni. Guests to include:
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Incisive conversations focused on helping investors navigate the ever-changing global market landscape
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The “new advice value stack,” and how firms can use it to help maximize their own value propositions for their clients.
Interviews and insights for advisors curious about switching to a new broker dealer.
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Powering Independence Podcast, insights and ideas for RIAs, presented by Dynasty Financial Partners. A podcast dedicated to presenting fresh ideas and best practices for the wealth management industry.
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The must listen-to podcast for investors, venture capitalists and financial advisors, with Tony Sirianni and Paul Dietrich.
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We interview top financial advisors and visionary voices to bring you the strategies, tips, and tools you need to make a difference in people’s lives.
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Timeless wisdom, actionable information you can use right now to make smarter investment decisions.
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