Margarida Correia

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.

The industrywide gain in fee income is a welcome development given the new fiduciary rule--see how firms are preparing for new regulations as well as new competition.

Back Social Security benefits are often overlooked – how to help clients collect.

Applying for Social Security benefits before clients turn 66 doesn’t necessarily mean they will get them then.

The firm has named two executives to newly created positions to help build on the momentum it says it has developed in serving clients in the western U.S.

The appointment to the newly created post is part of the bank's strategy to expand its client offering.

The San Francisco bank has snagged three advisers from City National Bank and Wells Fargo and added them to the team in California.

The Massachusetts-based planner, who allegedly told clients their money would be invested in a hedge fund, was also ordered to pay $1.89 million to victims.

TPM-affiliated banks and credit unions posted a significant 17% bump in fee business in 2015, a welcome development given the new fiduciary rule.

Kate Randall Danella is the second executive to be named to the post in less than four years.