Miriam Rozen

Merrill’s co-presidents are “doing a good job,” but “a little more recruiting” is needed, Brian Moynihan said.

A federal magistrate judge called the firm’s comments about opposing counsel “misguided” and “gratuitous.”

Broker, a 47-year industry veteran, has no disclosures on his record aside from the termination from Morgan Stanley.

The former Edward Jones broker had claimed the firm engaged in explicit and intentional employment discrimination against straight white males.

The SEC must bless any change prior to it becoming effective.

“Our focus is on year-over-year headcount,” a spokesperson said after results show a sequential decline.

In January, a Delaware state court ruled that the broker was entitled to partial advancement of funds but would need to seek the unreimbursed portion in arbitration.

Finra Exec Touts Less Frequent, More Efficient Exams

The filing marks Morgan Stanley's most-recent legal tactic in its defense against a lawsuit filed in 2023 by external recruiter Anthony Fletcher’s firm My Future Consulting.

Finra’s Two-Pronged Approach to Reduce Regs for Broker Marketing, Communications