Morgan Stanley

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  SEC, FINRA Enforcement Roundup

  By Marlene Y. Satter, AdvisorOne  |  May 24, 2012

  Broker-dealer Cadaret, Grant fined; alleged $60 million Ponzi scheme targeted; Morgan Stanley in hotseat.

• Major Firms See Assets, Fees Rise in Q1 ‘12 But Post Mixed Results for FA Headcounts

  By Janet Levaux, AdvisorOne  |  May 24, 2012

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  Morgan Stanley Adds Reps From UBS, Credit Suisse

  By Janet Levaux, AdvisorOne  |  May 23, 2012

  A UBS team joins with about $1.3 million in production; an ex-Credit Suisse advisor comes on board with roughly $1.6 million of trailing 12.

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  Raymond James Rolls Out New Advisor Software at Confab

  By Janet Levaux, AdvisorOne  |  May 21, 2012

  At the Raymond James conference, Scott Curtis took the helm as leader of RJ's independent-contractor channel while other executives unveiled the company's new desktop system.

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  What Do Women Earn as Brokers? A Lot Less Than Men Do

  By Janet Levaux, AdvisorOne  |  May 18, 2012

  The difference in wages for men and women selling securities, except for a few fluctuations, remains stubbornly high over the past 30 years, research shows.

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  New Hire Roundup: Kapoor Rises at Morningstar; Chilton Trust Gains Approval

  By Marlene Y. Satter, AdvisorOne  |  May 17, 2012

  This week in new hires, Morningstar promoted Kunal Kapoor; Chilton Trust was approved by the Florida Office of Financial Regulation; and Duff & Phelps announced a new independent broker-dealer due diligence practice.

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  Morgan Stanley Grabs Merrill, UBS Reps; Raymond James Snags MSSB Team

  By Janet Levaux, AdvisorOne  |  May 16, 2012

  Meanwhile, Wells Fargo adds advisors from Edward Jones, Merrill Lynch and other firms, and Barclays recruits several advisors from Deutsche Bank and Merrill.

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  5 Best & Worst Advisor Partner Firms: Q1 Earnings

  By Janet Levaux, AdvisorOne  |  May 16, 2012

  The wirehouses, top IBDs and associated players serving advisors had their earnings fall as much as 718% and improve up to 13% in Q1—AdvisorOne selected 10 to spotlight.

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  HighTower’s Weissbluth, IA 25 Honoree, Touted on CNBC

  By Joyce Hanson, AdvisorOne  |  May 15, 2012

  Investment Advisor magazine’s IA 25 honoree, HighTower Advisors CEO Elliot Weissbluth, celebrated his selection on CNBC’s “Squawk on the Street” program.

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  7 Protocol Essentials for Breakaway Brokers

  By Gil Weinreich, AdvisorOne  |  May 9, 2012

  Securities attorney Patrick Burns says following breakaway protocol is necessary not only to a broker's relationship with his old firm, but with his new one as well.