Margarida Correia

The adviser claimed PNC falsely accused him of not having met with two clients for their annual review and challenged the firm for writing him up for falsifying documents.

Firms should consider focusing on nuts-and-bolts issues like marketing and suitability of products if they want to avoid being the subject of FINRA disciplinary actions.

Life insurance will become more attractive to sell in the post-fiduciary world because it is one of the few products not encumbered by the regulation.

Reuben Rashty will lead Mirador Family Wealth Advisors. He succeeds Glen Johnson, who will transition to a new leadership role.

The self-paced online curriculum consists of a base course and role-specific courses for both fiduciary and non-fiduciary roles

The executive will oversee the delivery of advice and services for many of the firm's most prominent client families.

The firm failed to promptly liquidate his $3 million brokerage account, the client's lawyer argued during the hearing.

Which banks are advisers moving to? 12 recently jumped to Associated Bank, BNY Mellon, Pinnacle Bank and U.S. Bank from myriad financial institutions.

While employed at Huntington National Bank, the broker recommended a couple invest $350,000 — the bulk of their net worth — in two unit investment trusts, according to FINRA.

The new exec replaces Randy Bluth who left the bank six months ago to pursue other opportunities.