Andrew Welsch

J.P. Morgan Securities agreed to pay $4 million to settle the charges, according to authorities.

Former chief executive Paul Purcell will stay on as chairman of Baird.

On Wall Street unveils the biggest producers under age 40 at the super regional and regional broker-dealers.

See which advisors topped this year's list of the biggest producers under age 40.

See which advisors topped this year's list of the biggest producers under age 40.

A former wirehouse advisor has been building a new firm from the ground up.

The SEC says an advisor with Wells Fargo's FiNet used client funds to help inflate the price of several stocks.

The fast-growing financial firm acquired an RIA and pulled over a wirehouse team.

More than two dozen teams managing $1 billion or more in client assets switched firms this year. See where they landed.

The two wirehouses are taking different approaches in their comp plans for next year, with one aiming to herd its more senior advisors away from smaller accounts.

After losing dozens of advisors who managed billions in client assets to UBS, scorned Credit Suisse strikes back with legal challenge.

Credit Suisse lost another advisor, this time to rival boutique J.P. Morgan Securities.

Morgan Stanley recruited two advisors who oversaw nearly $120 million in client assets.

With clients worried, many advisors say they’ve recently pulled back on bonds and refrained from upping equity allocations, according to our new study.

Despite predictions of a coming boom market by Cerulli Associates and others, the leaders of the biggest brokerage firms remain divided about whether to jump into the fray.

The new recruits join from Wells Fargo and Oppenheimer.

The wirehouse recruited the mega team from UBS.

A father and his two sons switch from one independent broker-dealer to another.

The regional broker-dealer said it completed its acquisition of the British bank's U.S. wealth management unit, but it now expects that less than half of the assets under management will transfer over to the firm.

Snowden Lane's newest wirehouse recruits opened a California office for the independent firm.