Karmen Alexander is a reporter for AdvisorHub, covering the financial services industry with a focus on broker-dealer news and advisor transitions. Her reporting highlights regulatory actions, recruiting moves, and legal disputes within the wealth management sector.
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Karmen Alexander's coverage of financial news is heavily focused on legal and regulatory aspects, business developments, and private sector announcements within the United States. To effectively pitch to her, consider offering insights from experts in finance law or compliance issues related to brokerage firms or wealth management.
As Karmen primarily covers news related to employment disputes and revenue sharing among brokerage firms, she may particularly be interested in receiving pitches that provide expert commentary on recent legal actions taken by regulators against financial institutions or individuals.
Given her national focus on the United States, ensure that any pitched content pertains specifically to events or developments occurring within the country’s financial industry.
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Brendan Krebs, who left Wells Fargo for PNC to lead a newly formed wealth channel focused on mass affluent customers.
By: Karmen Alexander
A former Morgan Stanley broker who logged over a quarter century with the wirehouse was fined $10,000 and suspended for 30 days for helping to purchase and operate a hotel for three years without telling the firm, according to a Financial Industry Regulatory Authority settlement.
By: Karmen Alexander
Wells Fargo Advisors has named a former JPMorgan Chase & Co. manager to oversee around 600 brokers in its New England-Upstate New York market, according to a spokesperson.
Merrill Lynch has reeled in a Wells Fargo broker who produced $2.6 million in annual revenue in Pleasanton, California, according to a spokesperson.
By: Karmen Alexander, Mason Braswell
Morgan Stanley agreed to a censure and $15 million fine to settle allegations that it failed to detect red flags that at least four brokers were stealing millions from customer accounts, according to the Securities and Exchange Commission.
JPMorgan Chase has retained around 75% of advisors and clients from its May 2023 acquisition of First Republic Bank’s wealth management division, a company executive said Tuesday.
By: Karmen Alexander, Mason Braswell
One of Merrill Lynch’s largest brokers in Tennessee has split to join regional brokerage Stifel Nicholaus & Co. in Brentwood.
The Financial Industry Regulatory Authority this week sent a reminder to brokers to consider customers’ time horizon and risk tolerance, especially when it comes to investing money from a home equity loan.
By: Karmen Alexander
Stephen Laddy, who moved to Wells Fargo from UBS with John Serocke (not pictured) in New Jersey.
By: Karmen Alexander
Morgan Stanley has parted ways with a broker in Lutherville, Maryland who co-led a team said to be managing $2.2 billion in client assets, the broker’s lawyer confirmed.
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