Wirehouses

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  1. Articles

    JPMorgan sues $2B team who left for Morgan Stanley

    JPMorgan is seeking a restraining order against six brokers for allegedly contacting clients and defaming the company.

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    Wells Fargo faces major test of broker liability for selling F-Squared

    A 68-year-old widower claims wirehouse did insufficient due diligence on the troubled money manager.

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    RIAs join brokers in promoting securities-backed lending

    The practice is growing quickly even beyond wirehouses, but some are concerned about the risks and conflicts of interest.

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    Home office investment performance beats advisers': study

    Cerulli study suggests quantitative manager selection and staying invested during downturns helps home offices outperform advisers.

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    Pershing CEO: RIA growth outpacing B-Ds

    Ron DeCicco expects the RIA channel to continue growing while regulatory pressures and higher expenses weigh down broker-dealers.

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    Merrill settles short-selling case with SEC for $11 million

    Agency says wirehouse executed short sales in some stocks even when supply fell short.

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    Attrition and breakaways have shrunk head counts at wirehouses

    Attrition and breakaways have shrunk head counts at wirehouses, threatening the big four firms as they look to keep pace. (Plus: Our full Spotlight on Wirehouses special report)

  6. Articles

    John Thiel: Learn from the past or lose out in the future

    On the wall just inside the door of John Thiel's corner office in downtown Manhattan's World Financial Center hangs a framed handwritten note of encouragement from Daniel P. Tully, Merrill Lynch & Co.'s chairman until 1997. It is written on a printout of one of Mr. Thiel's first major memos to his

  7. Articles

    Finra arbitration panel awards $500,000 to former Morgan Stanley rep

    Broker and wirehouse embroiled in a three-year dispute over a promissory note.

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    Vanguard's new ambassador to advisers: We've earned your trust

    Thomas M. Rampulla's return to the U.S. comes after the firm recast itself as a patron of an industry that once saw it as a threat.

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    UBS' head of wealth management Bob Mulholland to retire

    Bob Mulholland, who oversaw the firm's 7,000 advisers and helped engineer a turnaround in the wirehouse's brokerage unit, will be replaced by UBS vet Brian Hull.

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    UBS advisers' comp falls amid flat revenue

    Declines in transaction revenue and slower growth in fee revenue hampered performance.

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    Widow of Home Shopping founder sues Morgan Stanley for $400M

    Lynnda Speer, widow of a Home Shopping Network co-founder, alleges excessive trading and negligent supervision by Morgan Stanley in an arbitration claim.

  12. Articles

    Wirehouse employees rate their firms on sites like Glassdoor.com

    Morgan Stanley chief James Gorman gets 87% approval rating on Glassdoor.com, tops among wirehouse CEOs. The firm ranked third on Vault.com among the 50 'best' banking companies in terms of quality of life and prestige.

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    Wirehouse advisers pile into euro-stock ETFs

    Currency-hedging ETF strategies are a no-brainer: Merrill Lynch portfolio manager