Wirehouses

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    Merrill fined $2.5 million for supervision violations in Massachusetts

    Training session did not include discussion of fiduciary requirements when commission-based assets are moved to fee-based accounts

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    Morgan Stanley shuffles leadership in wealth unit

    Co-head of global capital markets, Raj Dhanda, to lead investment products and services.

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    Investors see few benefits of lower fees in adviser-sold investments

    Managed accounts sold by advisers deflect trend toward lower-fee money management as brokers work to maintain profits: Cerulli.

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    SIFMA claims White House figures on DOL rule flawed

    A new paper by the organization concludes $17 billion estimate of lost retirement savings not substantiated.

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    Wall Street bonuses up 3% even as NYSE B-D profits fall

    Wall Street's bonus pool rose 3% to $28.5 billion in 2014, according to estimates by New York State Comptroller Thomas DiNapoli.Employees took home an average bonus of $172,860 as the industry added 2,300 jobs in New York City, the first time it's expanded since 2011, Mr. DiNapoli said Wednesday in

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    Finra raps UBS, Vanguard with fines totaling $850,000

    Firms failed to disclose some brokers' bankruptcies and other issues to regulators.

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    Morgan Stanley suppresses 'Hunger Games' video

    Charges InvestmentNews violated copyright laws by posting it on its website

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    Merrill Lynch scores $500 million team from UBS

    Four advisers who produced $3.1 million in annual revenue joined in Palm Beach, Fla.

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    Former Bank of America Merrill Lynch trainees sue for overtime

    Duo seeks to represent more than 100 trainees, more than $5 million in damages.

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    Morgan Stanley sues former broker, now at Ameriprise, over recruiting hijinks

    A former Morgan Stanley broker altered his clients' phone numbers in the firm's system before leaving for Ameriprise, according to a lawsuit

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    Merrill Lynch tells its advisers to get some water

    Nontraditional investment could benefit from long-term trends, values-based investing: CIO Bartels.

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    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