Andrew Welsch

The broker earned $57,000 in commissions off two clients and faces a dozen judgments and liens against him totaling more than $150,000, according to regulators.

An arbitration panel ordered the wirehouse to pay two former clients $250,000, a mere 10% of what they originally sought, in a case involving the sale of funds of Puerto Rican municipal bonds.

While the group moves between wirehouses, Morgan picks up more recruits from Barclays.

Advisors are backing off equities and bonds, as volatility and the Greek crisis have some clients 'spooked.'

Junior recruits entering the business as potential partners have their own take on how to boost business.

How the wirehouse and a new training program will bring in 1,500 new recruits.

The firm pursued the advisor for a bonus clawback while the advisor in turn sought damages for alleged discrimination and breach of good faith.

For the third time in the past year, the wirehouse discharged a long-time advisor with a big book of business, this time alleging "inappropriate workplace behavior."

The departure comes as the British firm prepares to transition its advisors over to Stifel, which is acquiring Barclays’ wealth management operations.

Recruiting stayed strong as Raymond James reported a 6% increase in quarterly profits for its wealth management unit year over year.

The SEC, not the Department of Labor, should "be driving this train," says SIFMA CEO Ken Bentsen.

Banking products and lending services helped boost the firm's bottom line even as advisor headcount continued to fall.

Will the trickle of advisors leaving Barclays for rival firms turn into a flood?

The advisor managed nearly half a billion dollars in client assets while at Barclays.

Two UBS advisors left the Swiss-owned wirehouse to rejoin Merrill Lynch.

Though the firm's revenue growth was tepid, the advisor ranks at the wirehouse expanded by 187 advisors, according to Bank of America which reported second quarter earnings for its wealth management unit.

Only 22% of affluent investors say they are familiar with what a robo advisor is, according to a new poll.

After announcing 11% growth in net income for the wirehouse's brokerage unit, Wells Fargo executives told analysts that they are thinking of launching a robo advisor.

Barclays lost another team, this time to Morgan Stanley, while its deal to sell its U.S. wealth management operations to Stifel is pending.