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  1. Articles

    Ex-UBS broker claims 'inhospitable work environment'

    Former broker Michael Hadden says wirehouse mislabeled customers' risk tolerance when selling potentially unsuitable products

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    Morgan Stanley's 'Hunger Games' parody whips financial Twitter into a frenzy

    Morgan Stanley's parody of the “Hunger Games” film series, obtained exclusively by InvestmentNews, generated a ton of buzz across the financial world. Twitter was the source of some of the best reactions to the 10-minute attempt at humor from the wirehouse giant. We've pulled together a collection

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    Morgan Stanley's Hunger Games-inspired video they don't want you to see

    The straitlaced wirehouse pulled the plug on this 10-minute spoof of the popular "Hunger Games" series. But did it go too far? You decide.

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    $800 million Morgan team breaks away

    Team partners with Dynasty Financial Partners to found Mosaic Family Wealth

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    SEC's Gallagher slams White House fiduciary memo as 'propaganda'

    Commissioner says administration ignores industry's stiff oversight by market regulators.

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    Tax complexities delay distribution of 1099s

    Many investors who are eager to file their taxes are frozen in place along with their advisers, as they wait for paperwork from their financial institutions currently wrestling with increasingly complicated reporting requirements.“The trend has been to issue the 1099s on investments later and

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    Morgan Stanley data breach focus shifts to hackers from adviser

    U.S. authorities examining whether fired adviser Marsh was targeted by hackers after he took data from the wirehouse.

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    Merrill Lynch strikes back with $1.2 billion hire

    After a couple big recruiting losses, Merrill picks up a $1.2 billion team of Morgan Stanley private bank advisers.

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    Fund conversion takes toll on UBS' fee revenue

    Fund conversion takes a toll on UBS' fee revenue, but AUM and revenue per adviser hits a record as the firm sheds lower producers.

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    Cetera president blasts White House memo defending DOL fiduciary

    Arguments continue on both sides about the merits of the recently-leaked White House memo and what it means for the standard's future prospects.

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    Financial advisers rocket Vanguard to No. 2 in ETFs behind BlackRock

    The firm's focus on cost-conscious, fee-based advisers has been a winning strategy.

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    James Gorman's profitability goal leans on Morgan Stanley's wealth management unit

    Morgan Stanley can hit 10% return on equity driven in part by better margins in the wealth management group, CEO James Gorman said.

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    Expenses take toll on Merrill Lynch's Q4 earnings

    Bank of America Merrill Lynch took a hit in the fourth quarter due to rising expenses and lower interest income, though CEO Brian Moynihan offered a vote of confidence that brokerage chief John Thiel is managing expenses well.

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    BlackRock fund removed from UBS 'select' list

    UBS AG's U.S. wealth management arm has removed the BlackRock Equity Dividend Fund (MDDVX) from its list of preferred funds for advisers, according to a report Wednesday by Reuters.The news agency, which cited a memo dated Tuesday, said the firm was no longer recommending the $28.1 billion fund on

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    Wells Fargo sees results from financial planning

    Wells Fargo Advisors capped off 2014 with relatively strong numbers, as fourth-quarter earnings at its wealth division were up 5% year over year, despite costly investments in technology and higher broker commissions.