Margarida Correia

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.

Rick Ulmer, the former regional executive for insurance services in the Mid-America region, will now oversee insurance operations in 10 states.

Client claimed that adviser's recommended strategy earned fees and commissions for the bank but wrecked his inheritance from his great grandfather.

The bank's heavy concentration of mass-affluent customers gives it a strong advantage over its rivals, Citizens claims.

Six executives were recently tapped to lead wealth management and related investment services groups at Huntington Bank, BNY Mellon, SunTrust and U.S. Bank. Find out who they are and what their new roles entail.

The upstate New York community bank is looking to the broker-dealer to help expand its investment offerings and wealth management services.