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.

Terry Dolan replaces Kathy Rogers, who is stepping down from her role due to changing family circumstances.

The firm allegedly settled a dispute with two customers on the condition that they would not oppose efforts to expunge the details of the dispute from the Central Registration Depository system.

The new hire will oversee manager research, the selection process and monitoring activities for the firm's Wealth Management Investments Group in New York.

John Zimmerman, president of an asset-management firm, will lead a team of approximately 10 professionals.

The adviser claimed she was unjustly fired from First Citizens Bank for allegedly making unauthorized bonus payments to her two sales assistants totaling $9,000.

Company veteran LeAnn Rummel will step into the role of president of its bank business; Catherine Bonneau will remain as CEO.

A client says if he had been told he was eligible for a lump-sum payment for back benefits, he would gladly have taken it, even if it meant a reduced monthly benefit for life.

James Dunlap will continue in his role leading the bank's private wealth businesses as the company prepares for the acquisition of FirstMerit Corp. in the third quarter.

The New Jersey bank moved its investment services program to Raymond James after a 14-year relationship with Essex Securities.

The firm's relatively modest-sized army of advisers is more productive than any of its competitors. In 2015, the average Raymond James adviser produced $387,733, beating Cetera, its closest rival, by more than $56,000.