Andrew Welsch

A recent report about bad incentives for brokers "did not accurately reflect how we do business and serve our clients," said Jon Weiss, head of wealth and investment management.

Merrill Robertson Jr. had previously been sentenced to 40 years in prison in a separate criminal case.

The firm is asking a judge to dismiss a class action suit and force a former broker into arbitration, instead.

Dean Hoover is the latest advisor to join the Raymond James-affiliated independent firm.

The broker belonged to Morgan Stanley's Chairman's Club, a group reserved for the elite among the firm's advisor ranks.

It’s tough enough to grapple with sexual harassment in the workplace. It’s more complex when clients are involved.

The regional BD failed to properly document its own investigations in the matter, and couldn't answer some SEC questions about who knew what and when, the regulator says.

Despite leaving the Broker Protocol, UBS continues to selectively recruit high-end teams.

Frustrated by the limitations of working at a bank-owned brokerage, advisors Randy and Matthew Price opted to join the independent firm in Houston.

The departure is the latest in a string for the wirehouse, whose broker ranks have shrunk by more than 300 over the last year.