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.

Alexander Assaf will oversee financial advisers and their teams for the credit union's Addison Avenue Investment Services division throughout Idaho, Oregon and Washington.

Nabbing clients away from competitors is a tried-and-true form of corporate growth. Check out these poaches from the bank channel.

The adviser was also ordered to pay $300,000 to cover Wells Fargo's legal fees.

A retiree says if he had been told he was eligible for a lump sum payment, he would have gladly taken it.

A retiree says if he had been told he was eligible for a lump sum payment, he would have gladly taken it.

Veteran Jason Miller was named to a new post as head of Wealth Planning in the U.S. He is supported by four regional leaders who are also new to their roles.

The broker was barred for allegedly stealing at least $14,400 from three bank customers.

Doris Meister, formerly president of U.S. Markets for BNY Mellon Wealth Management, also joined the bank's 15-member management group.

The new member of Cetera's executive committee is knee-deep in efforts to ready institutions and their advisers for the implementation of the new regulation.