Morgan Stanley Smith Barney

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  Wedbush Nabs Morgan Stanley FA

  By Janet Levaux, AdvisorOne  |  November 1, 2012

  Southern California-based Richard Wright moves from the wirehouse to the independent firm.

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  Morgan Stanley Grabs Reps From Raymond James, Wells Fargo

  By Janet Levaux, AdvisorOne  |  October 31, 2012

  The three new advisors move to Morgan Stanley with more than $4 million in yearly fees and commissions and roughly $430 million in client assets.

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  New Hire Roundup: Wedbush Private Client Services Group Adds Wright

  By Marlene Y. Satter, AdvisorOne  |  October 31, 2012

  Also this week in new hires, Lance Losey and Mary Welk joined Ascent Private Capital Management and Michael Millman joined The Private Client Reserve in San Francisco.

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  New Hire Roundup: Mozzocci Goes to Cantor Fitzgerald

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

  This week in new hires, Cantor Fitzgerald Investment Advisors welcomed Theresa Mozzocci, and BondDesk announced that Howard Edelstein would add the role of CEO to his position as chairman.

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  Mergers: A Tech Nightmare for Advisors

  By Jane Wollman Rusoff  |  October 24, 2012

  No one presumes that technology integration between big financial services firms will be headache-free, but such unions can unleash tech fiascoes. At stake: advisor productivity and morale.

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  Merrill Grabs $2.5B Morgan Stanley Team

  By Janet Levaux, AdvisorOne  |  October 22, 2012

  The group is led by Rebecca Rothstein and is based in Beverly Hills.

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  Finance Sector’s Q3 Growth Seen Leaving Others in Dust

  By Joyce Hanson, AdvisorOne  |  October 15, 2012

  Early reports for the finance sector’s third-quarter 2012 performance indicate that it is on track to best all other sectors, at overall profits of 11.8%, in what looks to be an otherwise lackluster earnings season.

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  SEC, FINRA Enforcement Roundup: Merrill Slapped With $500,000 Fine

  By Marlene Y. Satter, AdvisorOne  |  September 27, 2012

  Recent FINRA actions include a $500,000 fine against Merrill Lynch for failing to file required reports, and a joint action with the SEC and the exchanges against Hold Brothers.

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  Merrill Grabs Morgan Stanley Exec to Run Annuities, Insurance

  By Janet Levaux, AdvisorOne  |  September 26, 2012

  Michael Maghani, a 30-year industry veteran, was previously with Citi, UBS and other firms

• Morgan Stanley, Citi Strike Deal on MSSB

  By Janet Levaux, AdvisorOne  |  September 25, 2012

  Morgan Stanley and Citigroup have agreed on the valuation to be used in pricing Morgan Stanley’s purchase of the remaining stake in the Morgan Stanley Smith Barney joint venture: $13.5 billion for the full business, which includes close to 17,000 advisors.