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          • Reading financial newsThis Week’s Top 5: NBA Star’s Suit Against Morgan Stanley, RayJay Ups Recruiting Ante, and More
          • Merrill advisors Alpesh R. Patel, Matthew Birkett and Darren Siegrist moved to Rockefeller along with client associates Hai Dang and Chris Iwamasa.Merrill Loses $3-Mln Team to Rockefeller in CA, $2-Mln Group to Texas RIA
          • Dining expenseFinra Dings Ex-Morgan Stanley Broker in Los Angeles over Expense Lapse
          • Employee ApplauseFocus Financial’s PE Backers Eye $323 Million Pay Day with Stock Sale
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      • Advisor Moves
          • Merrill advisors Alpesh R. Patel, Matthew Birkett and Darren Siegrist moved to Rockefeller along with client associates Hai Dang and Chris Iwamasa.Merrill Loses $3-Mln Team to Rockefeller in CA, $2-Mln Group to Texas RIA
          • Bonus for financial advisorRayJay Details Recruiting Offer Hikes, Drops Some Clawback Provisions
          • Montgomery, Alabama.Merrill Lifer and His $4.4-Mln Alabama Team Jump to Morgan Stanley
          • Advisor considering independenceExclusive: Rockefeller Lures Merrill Private Wealth Regional Head in Chicago
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          • Dining expenseFinra Dings Ex-Morgan Stanley Broker in Los Angeles over Expense Lapse
          • Judge rulesFinra Bars Ex-Wells Broker Who Raised $3.5-Mln For Software Company
          • Advisor fraudFinra Suspends Former NJ Broker Who Borrowed from Clients to Pay Debts
          • Finra rulingArbitrator Grants Ex-Merrill Bank Broker’s Expungement, Calls Firing ‘Reckless’
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RBC

Richeda, Farr, Nazzaro
2/22/21 | Advisor Moves, News | RBC, Rockefeller Capital Management | 5 Comments

Rockefeller Hires $2.5-Mln Merrill Team in CO, RBC Nabs Million-Dollar IL Producer

RBC
RBC

RBC Fined $200,000 over Former Broker’s Unsuitable Energy Trades

2/4/21 | News

RBC to pay Massachusetts for failing to supervise 50-year veteran who state says “routinely over-concentrated the portfolios of senior citizens in energy sector securities.”

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Bank, Financial fraud
Kurt Bakken, branch director for RBC Wealth Management-U.S.
RBC, Wells Fargo

RBC Nabs Wells Manager, Ameriprise Touts NYC Broker’s Asset Growth

1/29/21 | News | 1 Comment

30-year brokerage veteran Kurt Bakken joins RBC Wealth Management-U.S. as branch director for its Rochester, Minnesota office while Ameriprise said another ex-Wells broker had doubled assets in a month.

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Branch Director, RBC Wealth Management-U.S., Wells Fargo
Female Judge
Morgan Stanley, RBC

Morgan Stanley Prevails in TRO Standoff with $6-Mln RBC Team

1/25/21 | News | 5 Comments

A federal judge granted Morgan Stanley’s motion to block the RBC group from soliciting their former clients and denied the brokers’ counterclaim.

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Employment Law, Morgan Stanley, New Jersey, Non-solicitation Agreement, RBC, TRO
Lady Justice
Morgan Stanley, RBC, UBS

RBC Team Seeks Tit-for-Tat Solicitation Halt Against Morgan Stanley

1/20/21 | News | 7 Comments

Princeton, NJ, advisors say Morgan Stanley is soliciting clients they brought with them when they moved from UBS in 2010, in violation of written and verbal agreements.

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Employment Law, New Jersey, Non-solicitation Agreement, TRO
(Left to right) Gregory Ernst and Todd Stark moved to RBC from UBS along with client associates Amy McGuire, Marnie O’Brien, Trudy Soper
RBC, Rockefeller Capital Management

Rockefeller, RBC Lure Merrill, UBS Teams in Midwest

1/14/21 | News | 7 Comments

Rockefeller hires its second Merrill team in Chicago while RBC recruits two teams with $900 million combined from the same UBS branch in Nebraska.

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Chicago, Nebraska
Team led by wirehouse veteran Wade Martin (seated, right) left Morgan Stanley in Princeton, NJ, for RBC.
Morgan Stanley, RBC

Morgan Stanley Sues $6 Million Team at RBC over Client Calls

1/13/21 | News | 5 Comments

New Jersey advisors “flagrantly” violated their employment agreements by calling former clients and using confidential information, wirehouse says in new lawsuit.

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Broker Protocol, Employment Law, New Jersey, TRO
Nate Angelo
LPL, RBC

RBC Promotes Practice Management Head to Run Pacific Northwest

12/2/20 | News | 3 Comments

Nate Angelo will oversee 137 brokers in ten offices as one of RBC’s 21 complex directors in the U.S.

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Maria Peralta, Adam Goldstein, George Chardukian and client associate Amy Montiel
LPL, RBC

LPL Hires RBC Arizona Team to New Channel

11/19/20 | Advisor Moves, News | 3 Comments

Trio managing $380 million is the fifth to join new Strategic Wealth Services unit launched for employee-channel producers seeking more support than typical LPL independent contractors.

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RBC
RBC

2021 COMP: RBC Restores Small-Account Penalty

11/11/20 | News | 4 Comments

RBC reinstates zero-payout policy on sub-$100,000 accounts following a suspension for the pandemic.

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Eden Lopez, Leslie Schwartz and Paula Steinberg (left to right) joined RBC in New York on Friday from J.P. Morgan Securities.
JP Morgan, RBC, Stifel, Wells Fargo

J.P. Morgan Hires $315 Mln Morgan Stanley Trio in Philly, Loses $1.2 Bln Team in NYC

10/16/20 | Advisor Moves, News | 3 Comments

J.P. Morgan Securities emigrees to RBC have 89 years of experience and a big book of music and entertainment clients, while its new arrivals had been with Morgan Stanley and predecessors for 87 years.

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Baltimore, Maryland
Morgan Stanley, RBC

RBC Lands $420-Million Morgan Stanley Broker in Maryland

10/8/20 | Advisor Moves, News

Arrival of 34-year veteran continues a slew of pandemic-era hiring that yielded RBC third-quarter recruits whose production was 112% higher than those who arrived in the year-ago quarter.

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CORONACRASH NEWS

  • 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
  • Finra Bars Ex-Wells Broker Accused of Improperly Seeking Virus Relief Loan

    Finra Bars Ex-Wells Broker Accused of Improperly Seeking Virus Relief Loan

    Feb 12, 2021
  • RayJay Private Client Profit Dips 8%, Employee Channel Recruiting Slips

    RayJay Private Client Profit Dips 8%, Employee Channel Recruiting Slips

    Jan 28, 2021
  • Finra Scrutinizes Brokers Who Took PPP Loans for Potential Violations

    Finra Scrutinizes Brokers Who Took PPP Loans for Potential Violations

    Jan 25, 2021

NEWS

  • This Week’s Top 5: NBA Star’s Suit Against Morgan Stanley, RayJay Ups Recruiting Ante, and More

    This Week’s Top 5: NBA Star’s Suit Against Morgan Stanley, RayJay Ups Recruiting Ante, and More

    Feb 27, 2021
  • Merrill Loses $3-Mln Team to Rockefeller in CA, $2-Mln Group to Texas RIA

    Merrill Loses $3-Mln Team to Rockefeller in CA, $2-Mln Group to Texas RIA

    Feb 26, 2021
  • Finra Dings Ex-Morgan Stanley Broker in Los Angeles over Expense Lapse

    Finra Dings Ex-Morgan Stanley Broker in Los Angeles over Expense Lapse

    Feb 26, 2021
  • Focus Financial’s PE Backers Eye $323 Million Pay Day with Stock Sale

    Focus Financial’s PE Backers Eye $323 Million Pay Day with Stock Sale

    Feb 26, 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

Recruiting Winners: 2020 Year in Review

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The must listen-to podcast for financial advisors by Tony Sirianni. Guests to include:
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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.
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The Brighthouse Financial Insights Panel is a group of leading, independent experts providing powerful insights into the big challenges facing you and your clients.
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.
As an industry expert, Frank LaRosa provides guidance and advice on a host of topics from recruiting and transitions, succession planning, practice management, M&A and more.
Our goal is to unlock the challenges to reveal the opportunities and what it means to provide advice in the 21st century.
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Timeless wisdom, actionable information you can use right now to make smarter investment decisions.
Made for and dedicated to those folks serious about their financial plan.
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Our webcast is dedicated to helping our viewers get real insights by avoiding the cognitive dissonance of today’s media outlets and biased editorial filters.

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