Articles tagged "Mindy Diamond"


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FiNet welcomes six wirehouse defectors at the apex of a withering Wells Fargo bank scandal that 'has legs'

Wells Fargo Advisors and FiNet ADVs warn of some cross-selling as RIAs eye Wells Fargo to see if the only wirehouse attempt to support independents will succeed, fail or end in confusion

September 29, 2016 — 7:15 PM UTC

Joan Khoury gets hired as CMO to revive brand of the other Oppenheimer

LPL's ex-marketing chief comes to the long-forgotten wirehouse believing its long history provides grist for a compelling narrative

January 5, 2016 — 11:10 PM UTC

Report: Focus Financial is preparing SEC paperwork for its initial public offering -- but is it jumping the gun?

With $325 million in revenues, the jumbo New York roll-up seeks to assuage a host of liquidity challenges

July 7, 2015 — 3:36 PM UTC

How Raymond James finally landed a big Bear Stearns team after JP Morgan retained and detained it for six years

The Florida broker-dealer finally has its first corner-office-style group at Rockefeller Center

December 11, 2014 — 7:28 PM UTC

Tony Robbins walks past the close a bit but nonetheless delivers at MarketCounsel

Despite detaining for three hours the just-arrived-in-Las Vegas crowd way past feeding time, Robbins won hearts, if not heads

December 9, 2014 — 9:34 PM UTC

The backstory of how a Merrill UHNW team found love in the time of U-5 -- but not with an RIA

Recruiters are still a little baffled as to why the $2.5-billion firm skipped a chance to go independent with a 'compelling story' but chose the comfort of the familiar business model -- and an office of their own

October 23, 2014 — 6:53 PM UTC

How Merrill Lynch's divorce of its own $2.5-billion team shows just how fed up the wirehouse is with RIA-bound breakaways

The sudden pick-up in these seemingly self-defeating dismissals by Wall Street firms suggest new vigilance against gradual breakaways

September 22, 2014 — 5:48 AM UTC

Ameriprise makes its move upmarket by first moving its bonus payouts to Wall Street levels

The Minneapolis-based broker jacks its sticker bid to 150% bonuses of brokers' last 12-months of revenue

June 13, 2014 — 2:30 PM UTC

Elliot Weissbluth pooh-poohs the idea that HighTower faces channel conflict as 'stupid and uninformed'

The roll-up has added franchise- and outsource-type channels in the wake of a capital raise that failed to materialize

March 14, 2014 — 5:59 AM UTC

How heavy the lifting was to get a $1-billion wirehouse team to independence in 2014 after a de facto false start in 2007

Kneen and Clayton were still on Windows 2003 version at UBS, a metaphor for why they have moved to Focus Financial and Tamarac software

February 7, 2014 — 6:20 PM UTC