Miriam Rozen is a Senior Editor for AdvisorHub, specializing in financial industry news and regulations. Her work has also been featured in the Financial Times. With a focus on brokerages, compensation, and industry trends, Miriam provides insightful coverage on the latest developments in the financial world.
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Miriam Rozen's articles predominantly cover legal and regulatory aspects of the finance industry, with a focus on brokerage firms, financial regulations, compensation plans, and client complaints. Her coverage includes government announcements and press releases related to these themes.
Given her extensive coverage of legal policy regulation in the finance sector, she is likely to be interested in receiving pitches from legal experts specializing in financial regulations or compliance issues. Additionally, professionals with insights into business practices within the finance industry may also find success pitching stories relevant to broker recruitment deals and changes in compensation plans.
While Miriam does not have a specified geographic focus for her articles, it would be beneficial for sources reaching out to her to provide expertise or commentary that is globally applicable within the scope of financial regulations and industry practices.
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Raymond James Financial is recruiting fewer veteran brokers but bringing in more assets with each hire, Chairman and Chief Executive Officer Paul Reilly told analysts Wednesday evening.
While major brokerage firms have for years been pushing more centralized portfolio management, there are signs that stock-picking brokers are continuing to gain ground.
By: Miriam Rozen
Sergio Ermotti, Group Chief Executive Officer of UBS. Photo Credit: Bloomberg.
By: Miriam Rozen
LPL Financial said on Wednesday that it had set aside $18 million during the third quarter in preparation for a settlement with the Securities and Exchange Commission over anti-money laundering violations.
By: Mason Braswell, Miriam Rozen
Merrill Lynch executives have told brokers that they need to “reestablish” their value as industry fee compression trends appear to be taking a tougher toll on the wirehouse compared to its peers.
A federal judge has denied Morgan Stanley’s motion to reconsider a November 2023 ruling that has tipped the scales in favor of brokers who have argued the wirehouse unlawfully withheld their deferred compensation when they moved to another firm.
By: Miriam Rozen
Osaic Services agreed to pay a $250,000 fine and a censure over findings that its predecessor, SafePoint Financial, failed for a 14-month period starting in June 2018 to establish a supervisory system to prevent excessive, unsuitable and options trading, among other violations, according to a November 7 settlement letter posted by the Financial Industry Regulatory Authority.
Two veteran Merrill Lynch advisors, both Black women, filed on Friday a proposed class action against accusing the brokerage and its Bank of America parent of discriminating against African Americans and women with its succession planning, teaming and account distribution policies and practices.
By: Miriam Rozen
Consolidators of registered investment advisory firms are reshaping a once fragmented channel, Boston-based consulting firm Cerulli Associates underscored on Wednesday.
By: Miriam Rozen, Karmen Alexander
When it rains, it pours—at least with client associates’ litigation this month.
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