Enforcement Official to Leave SEC
August 31, 2010 Christopher R. Conte will step down as an associate director in the division of enforcement at the Securities and Exchange...

JPMorgan Chase Hires Institutional Sales Chief
August 30, 2010 JPMorgan Chase recently recruited Michael O'Brien, a former BlackRock executive, to head its worldwide institutional sales.

RBC U.S. Wealth Unit's 3Q Profit Rose 10%
August 30, 2010 The Royal Bank of Canada wealth management unit in the United States increased its net income by 10% in the company's fiscal...

B of A-Merrill in Securities Sale Penalty
August 16, 2010 The Merrill Lynch unit of Bank of America has agreed to pay $728,260 in civil penalties for letting unregistered client...

As Advisers Move, Wire Houses Top Independents
August 9, 2010 According to advisers who have recalibrated their thinking, the benefits of working at the big companies are too important to...

Raymond James Bulks Up in Florida
August 4, 2010 Raymond James & Associates has hired Eileen Lamchick and Susan Rutrough, both as vice president of investments at its Coral...

B of A Merrill Hires Putnam's Tyrie
August 4, 2010 Bank of America Merrill Lynch has hired David Tyrie, formerly with Putnam Investments, as head of personal retirement services.

U.S. Trust Adds 9 Wealth Executives
July 26, 2010 U.S. Trust announced the hiring of nine senior wealth management executives on July 22 for its California, Arizona and...

Reform: Advisers Seen Oblivious
July 26, 2010 For as much press as the recent financial reform legislation received, most financial advisers appear unaware of its...

UBS Adviser Add Bucks Trend
July 19, 2010 UBS AG has hired two more advisers from Morgan Stanley Smith Barney. The hiring, along with a handful of others recently, goes...