Ralph Ortega

The group is the latest to defect from the British bank's wealth operation before its impending sale to Stifel.

Thomas J. Buck, an ex-Merrill Lynch and RBC advisor who once oversaw $1.2B in client assets, consented to FINRA findings that he "willfully committed fraud."

A recruit from the banking channel at Wells Fargo moves to the regional's independent broker-dealer.

The brokerage wants a judge to stop the former employee from claiming she remains employed by the firm, and from disclosing proprietary information on Facebook and other social media.

Rival Edward Jones has grown and wants to keep on growing.

Wells Fargo Advisors hopes to have 5,000 out of its 15,000-plus advisors using social media tools next year.

Bank of America's Keith Glenfield says clients at the firm's Merrill Lynch wealth management unit are using alternatives to take a more deliberate approach to core allocations.

The industry believes that adding lending and other services to an advisor's offerings will improve client service and boost the bottom line.

Learn how these leaders are focused on growing the advisor ranks and helping them build bigger businesses.

The online certification program uses academic insights to help advisors identify common misguided decisions investors make.

The wirehouse picked up the Blaustein Clancy Financial Group in New York.

Wealth management firms are implementing more behavioral bonuses while also making a larger share of comp deferred.

Leaders at the biggest firms are looking to deferred compensation and other ways to grow shareholder value and control costs.

Firms and their advisors are paying increasing attention to the rising threat of cybercrime.

Recruiters see a banner year for advisor moves, likening the landscape to a seller's market.

Recruiting activity will intensify as seven-year contracts begin to expire. Is now the time to cut a deal? Headhunters weigh in.

This year's top 40 advisors under the age of 40 show how youthful advisors can succeed at the highest levels.

Winthrop H. Smith Jr., son of Merrill Lynch pioneer Win Smith, gives his take on "Mother Merrill," and how the firm's old culture impacts the present.

“It is easy to screw it up, and it’s happening a lot,” says Robert Gordon of Twenty-First Securities.

"Ultimately, the challenge is how to most effectively translate clients' qualitative thoughts and feelings into quantitative approaches," says Merrill's Michael Liersch.