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The Motley Fool
December 19, 2011
Matt Koppenheffer |
What's Ahead for Regions Financial in 2012? Regions Financial's stock took a tumble in 2011; will the new year offer comeback potential?   |
Registered Rep.
April 2, 2012
Diana Britton |
It's Official: Morgan Keegan Advisors Now Work for Raymond James The next step in the integration process will be to roll out Raymond James' products and services to Morgan Keegan advisors. |
Registered Rep.
July 15, 2009
David A. Geracioti |
SEC Hits Morgan Keegan With Wells Notice A Wells notice states that the SEC intends to bring enforcement actions for possible violations of federal securities laws. |
On Wall Street
April 1, 2013
Mason Braswell |
Raymond James' New Breed Pushes Ahead After Morgan Keegan Acquisition The acquisition of Morgan Keegan added hundreds to Raymond James wealth management ranks one year ago. Branch Manager Robert Brewer reveals how he made the transition. |
The Motley Fool
December 2, 2011
Shubh Datta |
Housing Crisis Still Haunts Regions Regions Financial's fourth straight quarterly profit fails to satisfy the Street. |
On Wall Street
February 1, 2012
Konish & McMorris |
Raymond James Rising Raymond James & Associates struck a deal with Regions Financial to buy its Memphis-based Morgan Keegan unit for $930 million. |
Registered Rep.
February 15, 2012
Diana Britton |
More Advisors Fleeing Morgan Keegan Morgan Keegan has lost seven financial advisors since December, FINRA filings show. They follow some 190 other advisors who fled over the past six months. |
Registered Rep.
June 22, 2011
Charlie Paikert |
Morgan Keegan On The Block After Regions Settles Fraud Charges Morgan Keegan may soon be for sale after agreeing to a $210 million settlement with federal, state and industry regulators over issues related to subprime mortgage-backed securities. |
The Motley Fool
December 16, 2011
Matt Koppenheffer |
Regions Financial's Stock Was Clobbered by 2011 It was a tough year for Regions Financial shareholders. |
The Motley Fool
December 17, 2008
Morgan Housel |
No Good News for Morgan Stanley If Morgan Stanley really is retreating from the old investment banking model, then what's next for the investment-bank-turned-bank-holding-company? |
On Wall Street
April 1, 2013
Lorie Konish |
Editor's Letter: Transition at Raymond James A run-down of the stories in this issue, including a discussion of the year following the Raymond James merger with Morgan Keegan. |
The Motley Fool
September 21, 2007
Lawrence A. Rothman |
Good Deal, Wachovia! Strong quarterly results from A.G. Edwards reaffirm the wisdom of Wachovia's pending purchase. Investors, take note. |
Registered Rep.
January 23, 2009
Halah Touryalai |
Raymond James Lookin' Good--But For How Long? The folks at Raymond James have something to smile about -- the company posted positive numbers for the first quarter of fiscal 2009, and managed to beat some analysts' expectations. |
On Wall Street
August 1, 2011
Lorie Konish |
Morgan Keegan's Woes May Not Be Over Morgan Keegan has aggressively fought funds-related arbitration cases and will continue to do so. |
Registered Rep.
February 24, 2012
Diana Britton |
Some Morgan Keegan FAs Eager for Raymond James' Social Media Tools For some Morgan Keegan advisors, Raymond James is dangling a fairly tasty technological carrot: Immediate access to an advanced social media content, archiving and distribution platform. |
On Wall Street
August 1, 2012 |
Who's News: Recent Hirings Stifel Nicolaus has hired Richard Ward in Irvine, Calif... Wells Fargo Advisors nabbed five new advisors with $849 million in client assets... Raymond James' employee broker-dealer arm, Raymond James & Associates, has hired Tom Ford and Jeff Jones in Peoria, Ill., from Morgan Stanley Smith Barney... |
Registered Rep.
September 17, 2008
Geracioti & Touryalai |
Morgan And Wachovia? The need for the kind of capital offered by customer deposits apparently is driving securities firms into the arms of banks. |
Registered Rep.
September 10, 2009
Kristen French |
Gorman Grabs Morgan Stanley CEO Slot James Gorman, the former head of Morgan Stanley's retail brokerage division and now co-president of the firm, is slated to take over the CEO job in January, 2010. |
Registered Rep.
July 22, 2010
Christina Mucciolo |
Raymond James Financial and Wells Fargo Retail Brokerage Units Hang In There A report on earnings from two major financial firms. |
The Motley Fool
April 15, 2008
Ryan Fuhrmann |
Regions Financial Is Saved Regions Financial posts a steady quarter in a tough banking environment. |
Registered Rep.
August 2, 2005
Kristen French |
Morgan Stanley Fined $6.1 Million for Fee-Based Brokerage Slip-Ups NASD's investigation showed that from January 2001 through December 2003, Morgan Stanley failed to establish and maintain a supervisory system to review and monitor its fee-based brokerage business. |
Registered Rep.
October 20, 2010
Jerry Gleeson |
Profits Soar at Wells Fargo, Raymond James The brokerage business of Wells Fargo of San Francisco, and independent b/d Raymond James Financial Inc. of St. Petersburg, Fla., both reported mixed performances today, with sharply higher year-over-year profits contrasting with more subdued sequential results. |
Registered Rep.
April 29, 2005
Kristen French |
Raymond James Fined, Drops Fee-Based Brokerage---Will Others Follow? Following the NASD fine of Raymond James for pushing fee-based accounts on the wrong clients, the next question is how the settlement will affect other firms that offer the same accounts, including wirehouse giants Morgan Stanley, Merrill and Smith Barney. |
The Motley Fool
July 18, 2007
Ryan Fuhrmann |
Further Savings for Regions Financial Regions Financial continues to wring savings from a recent merger. Investors, take note. |
Registered Rep.
April 28, 2005
Kristen French |
Raymond James Fined, Plans to Drop Fee-Based Brokerage As part of the sanctions imposed by the NASD, if Raymond James doesn't discontinue its fee-based brokerage business, the firm will have to retain an independent consultant to oversee the creation of a supervisory system for the fee-based brokerage business. |
On Wall Street
March 19, 2013
Bill Willis |
Recruiter's Tour of Raymond James Morgan Keegan employees were required to make a home office visit after their firm was acquired by Raymond James. |
The Motley Fool
January 22, 2007
Ryan Fuhrmann |
Regions Financial Stays Close to Home Investors, it's time to keep an eye on this active banking-industry player. |
Registered Rep.
July 28, 2008
Kristen French |
Wachovia Could Sell Retail Brokerage: Analysts Analysts point to a record $8.9 billion quarterly loss in the second quarter, but Wachovia says the brokerage isn't for sale. |
The Motley Fool
April 18, 2007
Ryan Fuhrmann |
Sitting Pretty at Regions Financial The Alabama-based financial institution is increasing its clout in appealing Sunbelt states. Investors, take note. |
Financial Advisor
March 2012 |
Raymond James Hedges Bets Raymond James Financial Services CEO Dick Averitt related a story of how the independent contractor grew from a relatively small base 25 years ago to the largest part of the brokerage firm's business today. |
On Wall Street
May 1, 2011 |
Who's News News from UBS Wealth Management, Stifel Nicolaus, and Raymond James. |
Registered Rep.
February 16, 2012
Diana Britton |
Stifel's Wealth Segment Offsets Decline in Institutional Business in 2011; FA Recruiting `Muted' Despite a bad year for its institutional group caused by the uncertain market environment, financial services firm Stifel Financial's 2011 results were propped up by the stability in its global wealth management segment. |
On Wall Street
January 1, 2012 |
Who's News UBS AG has named Robert J. McCann chief executive of UBS Group Americas... Raymond James shifted its leadership team ahead of the expected departure of Raymond James Financial Services Chairman and CEO Dick Averitt next year... more... |
Registered Rep.
April 5, 2012
Diana Britton |
Raymond James Reminds New $4 Million Team of Wheat First Days John Lynch, who leads the team, said Raymond James' "regional" feel reminds him of his days at Wheat First Butcher Singer, which he joined about 14 years ago. |
The Motley Fool
July 15, 2011 |
Raymond James Financial Earnings Preview Raymond James Financial will unveil its latest earnings on Wednesday, July 20. |
The Motley Fool
June 17, 2011
Cindy Johnson |
What's Scarier Than a Bailout Bank? What could be scarier than a bank that's "too big to fail"? A bank that isn't. The Federal Deposit Insurance Corp.'s list of banks that have failed consists mostly of regional and community banks the government is willing to let go. |
Registered Rep.
December 9, 2003
Will Leitch |
Raymond James Audits Itself In the wake of last week's news that regulators have recommended "enforcement action" against Raymond James Financial for failure to offer clients breakpoints, the Florida-based brokerage has called for an all-hands-on-deck audit of its mutual fund trading. |
Registered Rep.
January 1, 2007
Halah Touryalai |
Riding High It was a fine year for brokerage firms -- especially their stocks. No one came up bigger than Goldman Sachs and Morgan Stanley in terms of percentage gains. |
Registered Rep.
March 7, 2011
Jerry Gleeson |
Morgan Stanley May Drop "Smith Barney" From Name Will the Smith Barney name go the way of A.G. Edwards, Bear Stearns, and other brokerages whose historic identities were sublimated following acquisitions by larger firms? |
The Motley Fool
May 25, 2006
Stephen D. Simpson |
AmSouth and Regions' Mediocre Merger Hopefully, the combined bank will be more like AmSouth than Regions. Good luck, AmSouth shareholders. You might deserve better than this. |
The Motley Fool
June 22, 2004
Roger Nusbaum |
The House of Morgan Stanley Morgan Stanley has had its fair share of wrongdoing, but despite its warts, the brokerage firm should continue to thrive. |
On Wall Street
February 1, 2010
Lee Conrad |
Wells Fargo: On the Front Lines of the Culture Wars One of Wells Fargo's task after acquiring Wachovia Securities is integrating advisors from both companies into one sales force and keeping them satisfied. |
Registered Rep.
September 26, 2008 |
Ray Jay Wants In On Bank Action Raymond James Financial Services plans to convert itself into a bank. |
Registered Rep.
February 1, 2008
Kristen French |
Morgan Sells Spanish Retail Brokerage Arm Morgan Stanley announced plans this week to sell its Spanish brokerage- and asset- management business to La Caixa, a Spanish financial-services firm, for $885 million. |
Registered Rep.
February 18, 2003
David A. Geracioti |
Prudential and Wachovia Deal at Hand Wachovia Corp. and Prudential Financial are set to announce their long-rumored joint venture, a partnership that would combine the two firms' brokerage units and clearing operations to create the third-largest brokerage (by number of reps) in the United States after Merrill and Morgan. |
On Wall Street
February 1, 2010
Frances A. McMorris |
When Firms Collide: Is Culture Clash Inevitable? Merged companies have been integrated and new executives have taken up their posts, but everyone is still trying to adjust. |
The Motley Fool
June 10, 2011
Cindy Johnson |
Beware of Penny-Pinching Bankers Big banks have new cost-cutting efforts under way. |
Registered Rep.
March 1, 2005
Will Leitch |
A Sporting Chance Morgan's shareholders are testy now, and they are looking for someone to blame for the company's ills. Having taken a 46% raise in a year in which his company's stock dropped 8.2 percent, chairman and CEO Philip Purcell makes an easy target. |
Registered Rep.
May 1, 2005
Chelsea Hardaway |
A Random Walk Down Brand Street The corporate way of communicating has been so bad for so long, many of us have stopped caring altogether. A.G. Edwards: Finally, a brokerage firm that gets it. |
U.S. Banker
July 2009
Alan Kline |
Raking in the Fee Income Among bank holding companies, Citigroup Inc. remains the industry leader in generating insurance revenue, but rivals Wells Fargo & Co. and Bank of America Corp. are closing the gap. |
