Margarida Correia

In their zeal to comply with the Labor Department's fiduciary rule, firms could find themselves in regulatory hot water for reverse churning.

Which banks are advisers moving to? Here are 15 who have switched recently to BNY Mellon, Northern Trust, U.S. Bank and Wilmington Trust from myriad financial institutions.

The 81-year-old widower also won an additional $12,000 for his elderly friend in a FINRA arbitration proceeding.

The executive will oversee the development and implementation of business strategies across the bank's wealth management units.

Banks are lining up behind Capital One to launch robo platforms even as they gird for an initial hit to their brokerage business.

Eleven executives were tapped this year to lead wealth management and related investment services groups at Key Private Bank, Regions Bank, U.S. Bank, Wells Fargo Private and Wilmington Trust. Find out who they are and what their new roles entail.

Sandra Pierce will assume her role once Huntington completes its acquisition of FirstMerit.

The broker allegedly talked clients into investing $115,000 in a technology startup where his friend worked as a computer programmer.

The large Los Angeles institution launched the program mid-April with one adviser and a program manager and is looking to add more advisers soon.

One approach enables clients retiring with large positions of highly appreciated company stock in their 401(k) accounts to save thousands on taxes.