FINRA’s National Fraud and Financial Crimes Detection Programs has sent 50 cases to the SEC involving potential fraud by public companies related to COVID-19. So reports Think Advisor.
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The Department of Housing and Urban Development has changed principal…
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Since the turmoil that seized the banking sector with the mid-March failure of Silicon Valley Bank, at least 21 advisors have left First Republic Bank, with 13 heading to Morgan Stanley. So reports AdvisorHub.
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Private equity group Reverence Capital Partners is courting suitors for a minority stake in wealth…
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Merrill Lynch has continued to reshuffle executives in the wake of former head Andy Sieg’s recent departure for Citigroup. So reports AdvisorHub.
Greg McGauley, who had been leading the Northeast region of Merrill’s private wealth business since 2009, has been named head of Merrill Private Wealth Management, International and Institutional.
McGauley’s appointment and other simultaneously announced changes follow the promotions of Lindsay Hans and Eric Schipf to fill Sieg’s old role as Merrill co-heads.
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