An ex-Charles Schwab advisor is suing her former employer over alleged age and sex discrimination and…
Tag: Regulation and compliance
SEC ends inquiry into Morgan Stanley’s ‘sweeps’ policies
Morgan Stanley is no longer under SEC scrutiny for its often-lucrative practice of “sweeping” uninvested cash…
How wealth firms do revenue sharing in 2025
Asked how the industry practice of revenue sharing served their clients’ best interest, nine of the…