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Old ties were key to Sanctuary s new steal of $1B Merrill team

Tapping a relationship that was around 15 years strong, Sanctuary won a legacy Merrill Lynch team in the competitive market for independent advisors. Here's how it happened, Sanctuary president Vince Fertitta told FP.

San franciscoUnited statesNorth carolinaSeanm jucasJason diamondJames jimm corriganJohn thielMerrill lynchCindy hehrKenneth shayVince fertittaAndy siegDavid holtkampDaniel burnhamChicago chartered financial analyst societyWealth associates basel alwawi

Robinhood argues before Massachusetts high court that state fiduciary rule could quash broker-dealers

Lawyers for the popular brokerage service argue that federal regulators have resisted the use of a single conduct standard to preserve investor choice.

United statesPhoebe fischer grobanAmy mason sahariaWilliams connollyWilliam galvinMassachusetts supreme judicial courtExchange commissionPublic investors advocate bar associationA superior courtAmerican securities administrators associationRobinhood marketsCommonwealth william galvinSuperior courtWall streetRegulation best interestMassachusetts uniform securities act

Dynasty looks to its own new investment bank to boost M&A for financial advisory firms

The support firm for RIAs sees opportunities to position itself between buyers and sellers of firms.

Sankt peterburgUnited statesNew yorkChuck faillaCharles scwabHarris baltchPeter nesvoldJames mclaughlinRaymond jamesExchange commissionRepublic capital groupWells fargoSovereign financial group in stamfordFinancial industry regulatory authorityDynasty investment bank onGoldman sachs

JPMorgan s First Republic deal turbocharges Dimon s ambitions in wealth

The banking giant's asset and wealth management arm boasts more than $4.3 trillion of client assets.

United statesNew yorkSan franciscoDanny sarchDavid chiaveriniNeil sipesMichael rofflerJamie dimonGlenn schorrAlison williamsLos angelesMorgan stanleyRoyal bankBear stearnsFirst republic bankSan francisco based first republic

SEC has concerns about M&A boom and branch offices

In a new risk alert, the Wall Street regulator warns about lapses with cybersecurity, email and third-party vendors.

United statesAmy lynchExchange commissionFinancial industry regulatory authorityDivision of examinationsNew york basedFrontline complianceWall streetRegulation and complianceCorporate governanceIndependent advisorsRegulatory reformRisk management

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